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David A. Ohlson

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CRD#: 2027621
DO

Professional summary

David A Ohlson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, David had worked at 4 firms, which includes OAK GROVE INVESTMENT SERVICES INC., CETERA WEALTH SERVICES LLC, WS GRIFFITH SECURITIES INC., HOME LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 17, 2002 - November 30, 2005

OAK GROVE INVESTMENT SERVICES, INC.

BD
CRD#: 46343
ROCHESTER, IL
Past

February 3, 1992 - December 31, 1992

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
Past

February 1, 1990 - December 31, 1991

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
Past

February 1, 1990 - December 31, 1991

HOME LIFE INSURANCE COMPANY

BD
CRD#: 4184

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/16/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

OG
OAK GROVE INVESTMENT SERVICES, INC.
ACORN INVESTMENT SERVICES, INC. | OAK GROVE INVESTMENT SERVICES, INC.

CRD#: 46343 / SEC#: , 8-51388

BD
Terminated by SEC on 02/25/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 09/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RETIREMENT DEFENDERS.ORG, INC.SHAREHOLDER
MCENANEY, KIMBERLY IRENEFINOP4760373
NAUGHTON, GERALD EDWINCHIEF COMPLIANCE OFFICER5108021
PETTYJOHN, MARK CHARLESPRESIDENT & DIRECTOR & CEO1141552
WOODS, DONALD LLOYDDIRECTOR3149570

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.

Company Information

OAK GROVE INVESTMENT SERVICES, INC.

CRD#: 46343

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