David A. Klauka
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 Allen Klauka, who also goes by Ike Klauka, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7 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
June 20, 2014 - April 15, 2016
TD AMERITRADE, INC.
June 20, 2014 - April 15, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 9, 2014 - April 15, 2016
TD AMERITRADE, INC.
August 20, 2007 - March 19, 2013
CHARLES SCHWAB & CO., INC.
May 23, 2007 - March 19, 2013
CHARLES SCHWAB & CO., INC.
April 2, 2007 - May 15, 2007
MORGAN STANLEY & CO. LLC
November 7, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
October 8, 2001 - August 19, 2002
LASALLE FINANCIAL SERVICES, INC.
April 12, 1999 - October 8, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
March 5, 1997 - June 11, 1997
WINGSPAN INVESTMENT SERVICES
May 8, 1996 - February 19, 1997
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
August 9, 1993 - June 3, 1996
PRUCO SECURITIES, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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