David M. Brezik
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David M Brezik, CFP®, who also goes by Dave Brezik, David Michael Brezik, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2018 - January 11, 2021
TD AMERITRADE, INC.
May 18, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 18, 2018 - January 11, 2021
TD AMERITRADE, INC.
July 30, 2013 - August 29, 2016
HARRISDIRECT LLC
June 11, 2012 - August 29, 2016
E*TRADE SECURITIES LLC
November 9, 2004 - May 13, 2009
UBS FINANCIAL SERVICES INC.
November 9, 2004 - May 13, 2009
UBS FINANCIAL SERVICES INC.
September 23, 2004 - November 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2002 - November 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2000 - October 2, 2001
FIDELITY BROKERAGE SERVICES LLC
August 18, 1994 - September 26, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
March 28, 1987 - August 11, 1994
FIDELITY BROKERAGE SERVICES LLC
April 17, 1986 - September 29, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/1/2023
General Securities Representative ExaminationSeries 8
Date: 2/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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