David L. Gardner
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 Leslie Gardner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 63, 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
December 13, 2011 - March 25, 2013
BLACKROCK INVESTMENTS, LLC
July 24, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
September 8, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
May 18, 1999 - August 11, 2000
NYLIFE DISTRIBUTORS LLC
April 1, 1996 - March 11, 1999
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
June 16, 1994 - February 8, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
June 29, 1993 - December 20, 1993
NATCITY INVESTMENTS, INC.
February 2, 1993 - February 3, 1995
NATIONAL CITY INVESTMENTS CORPORATION
September 8, 1989 - January 6, 1993
CAL FED INVESTMENTS
February 24, 1987 - September 13, 1989
EDWARD JONES
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
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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