David G. Anderson
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 Gordon Anderson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2014 - October 10, 2016
DFPG INVESTMENTS, LLC
October 11, 2010 - September 9, 2014
COLORADO FINANCIAL SERVICE CORPORATION
January 27, 2010 - October 11, 2010
AMERICAN CLASSIC SECURITIES, INC.
February 18, 2000 - October 30, 2009
AMERICAN CLASSIC SECURITIES, INC.
June 6, 1994 - February 9, 2000
WMA SECURITIES, INC.
April 13, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, 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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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