David E. Evans
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 Edward Evans SR, who also goes by Dave Evans Sr, David Edward Evans, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 6 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 1988 - September 6, 1989
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
March 29, 1988 - August 2, 1988
HAMPTON SECURITIES, INC.
September 9, 1987 - April 13, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
May 28, 1987 - August 14, 1987
AMERIPRISE ADVISOR SERVICES, INC.
December 24, 1986 - June 8, 1987
GRAYSTONE NASH, INC.
November 21, 1986 - December 12, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
CRD#: 13741 / SEC#: , 8-45398
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
