David S. Sanders
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 S Sanders, who also goes by Dave Sanders, David Scott Sanders, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - December 31, 2018
KESTRA ADVISORY SERVICES, LLC
January 15, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 15, 2016 - December 31, 2018
KESTRA INVESTMENT SERVICES, LLC
October 4, 2013 - January 15, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
October 4, 2013 - January 15, 2016
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
October 7, 2010 - October 7, 2013
PROSPERA FINANCIAL SERVICES, INC.
October 7, 2010 - October 7, 2013
PROSPERA FINANCIAL SERVICES, INC.
January 20, 2010 - October 7, 2010
VSR FINANCIAL SERVICES, INC.
January 19, 2010 - October 7, 2010
VSR FINANCIAL SERVICES, INC.
February 27, 2009 - January 26, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 2006 - January 21, 2009
CETERA INVESTMENT SERVICES LLC
January 3, 2006 - January 21, 2009
CETERA INVESTMENT SERVICES LLC
July 5, 2005 - January 3, 2006
SAWTOOTH SECURITIES, LLC
July 1, 2005 - January 3, 2006
SAWTOOTH SECURITIES, LLC
April 1, 2004 - July 11, 2005
PRIVATE CONSULTING GROUP, INC.
March 31, 2004 - July 11, 2005
PRIVATE CONSULTING GROUP, INC.
May 22, 2001 - April 12, 2004
OSAIC FA, INC.
May 15, 2001 - April 12, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 15, 2001 - April 12, 2004
OSAIC FA, INC.
January 20, 1998 - June 14, 2001
WS GRIFFITH SECURITIES, INC.
February 26, 1997 - February 2, 1998
THE O.N. EQUITY SALES COMPANY
January 24, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 24, 1989 - February 26, 1997
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
