Allan D. Dau
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.
Allan Donald Dau, who also goes by Al Donald Dau, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1987. Allan had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2006 - July 13, 2007
GUNNALLEN FINANCIAL, INC
September 17, 2004 - August 29, 2005
CETERA WEALTH SERVICES, LLC
October 10, 2002 - December 5, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 13, 1995 - May 15, 2002
SENTRA SECURITIES CORPORATION
September 19, 1994 - March 14, 1995
FSC SECURITIES CORPORATION
July 26, 1989 - September 27, 1994
IDS LIFE INSURANCE COMPANY
July 13, 1987 - September 27, 1994
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
