David K. 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 Kingdon Anderson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 4 firms and has passed the SIE, Series 99TO, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2002 - June 2, 2009
AMERICAN CENTURY BROKERAGE, INC.
October 28, 2002 - October 3, 2022
AMERICAN CENTURY INVESTMENT SERVICES INC.
May 30, 1995 - February 17, 1999
DWS DISTRIBUTORS, INC.
February 1, 1995 - April 21, 1995
DWS DISTRIBUTORS, INC.
December 10, 1993 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AMERICAN CENTURY BROKERAGE, INC.
CRD#: 42846 / SEC#: , 8-50034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| ETHERINGTON, CHARLES A | CLO | 2473136 |
| LEIS, JOHN ANTHONY | CEO, PRESIDENT,DIRECTOR | 2324896 |
| MCCLAIN, STEVEN J | DIRECTOR | 4788572 |
| RADDIE, MICHAEL JON | COO, VICE PRESIDENT, DIRECTOR | 1607037 |
| SCHUMAKER, AMY DIANE | CCO | 2556023 |
| WAGGONER, JAMI D | CHIEF FINANCIAL OFFICER | 2728244 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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