David L. Conner
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 Lewis Conner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 8 firms and has passed the Series 63 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
January 22, 2010 - August 24, 2010
MIDAMERICA FINANCIAL SERVICES, INC.
September 25, 2006 - December 5, 2009
SOUTHEAST INVESTMENTS, N.C., INC.
February 4, 2004 - September 29, 2006
OSAIC FS, INC.
April 30, 2003 - January 21, 2004
METROPOLITAN LIFE INSURANCE COMPANY
April 30, 2003 - January 21, 2004
MSI FINANCIAL SERVICES, INC.
October 2, 2002 - May 8, 2003
MML INVESTORS SERVICES, LLC
September 20, 1999 - October 1, 2002
METROPOLITAN LIFE INSURANCE COMPANY
September 20, 1999 - October 1, 2002
MSI FINANCIAL SERVICES, INC.
July 9, 1993 - September 17, 1999
ROBERT W. BAIRD & CO. INCORPORATED
September 24, 1991 - September 17, 1999
NORTHWESTERN MUTUAL INVESTMENT 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
MIDAMERICA FINANCIAL SERVICES, INC.
CRD#: 47351 / SEC#: , 8-51758
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
