David M. Gaede
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 M. Gaede, who also goes by David M Gaede, David Michael Gaede, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2013 - December 23, 2015
INVESTMENT CENTERS OF AMERICA, INC.
April 17, 2013 - December 23, 2015
INVESTMENT CENTERS OF AMERICA, INC.
October 14, 2011 - April 17, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 27, 2011 - April 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 7, 2008 - August 12, 2011
BANCWEST INVESTMENT SERVICES, INC.
May 17, 2006 - August 12, 2011
BANCWEST INVESTMENT SERVICES, INC.
February 7, 2001 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
August 14, 1998 - February 7, 2001
INVEST FINANCIAL CORPORATION
February 1, 1996 - August 19, 1998
BANC ONE SECURITIES CORPORATION
May 28, 1992 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
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
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 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.
