David G. Frey
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 George Frey, who also goes by David G Frey, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 14 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
March 26, 2003 - October 20, 2003
CETERA INVESTMENT SERVICES LLC
June 14, 2002 - March 18, 2003
VFINANCE INVESTMENTS, INC
February 16, 2000 - June 14, 2002
SOMERSET FINANCIAL GROUP, INC.
May 2, 1997 - February 15, 2000
DIME SECURITIES, INC.
January 22, 1997 - April 16, 1997
FIRST UNION BROKERAGE SERVICES, INC.
August 16, 1996 - February 14, 1997
FISERV INVESTOR SERVICES, INC.
March 19, 1996 - August 9, 1996
ESSEX NATIONAL SECURITIES, LLC
October 12, 1994 - January 25, 1996
FIRST UNION CAPITAL MARKETS CORP.
January 12, 1994 - June 17, 1994
CONSECO SECURITIES, INC.
July 12, 1993 - December 20, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
June 4, 1993 - October 8, 1994
CHEMICAL INVESTOR SERVICES, INC.
November 13, 1992 - July 29, 1993
FLEET ENTERPRISES, INC.
February 24, 1989 - January 2, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 24, 1989 - January 2, 1991
PRUCO SECURITIES, 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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
