David L. Bach
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 Louis Bach, who also goes by David Bach, 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 Series 66, Series 65, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2014 - July 1, 2015
EDELMAN FINANCIAL SERVICES, LLC
June 12, 2014 - July 1, 2015
SANDERS MORRIS LLC
November 17, 2003 - February 25, 2004
ROUND HILL SECURITIES, INC.
July 21, 1993 - December 13, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EDELMAN FINANCIAL SERVICES, LLC
CRD#: 113299 / SEC#: 801-64567
Contact information
Red Flags
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