David G. Meier
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 Meier, who also goes by David Meier, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 65, Series 63, Series 22, Series 62 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
December 18, 2008 - September 12, 2013
NEXT FINANCIAL GROUP, INC.
August 3, 2001 - December 19, 2008
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - August 9, 2001
MUTUAL SERVICE CORPORATION
June 4, 1996 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
June 6, 1994 - June 21, 1996
WMA SECURITIES, INC.
February 10, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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 62
Date: 2/18/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
