David B. Townley
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 Bruce Townley, who also goes by Dave Townley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1999 - December 7, 2001
WMA SECURITIES, INC.
February 20, 1998 - December 31, 1998
WMA SECURITIES, INC.
June 20, 1996 - March 4, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 18, 1994 - December 31, 1995
NORTH AMERICAN MANAGEMENT, INC.
July 25, 1991 - September 29, 1992
SECURITIES AMERICA, INC.
November 24, 1987 - June 21, 1991
PFS INVESTMENTS INC.
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
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
