David Yeager
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 Yeager was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2012 - March 26, 2013
ROCKLAND CAPITAL, LP
February 27, 1995 - October 17, 1995
TD SECURITIES (USA) LLC
Primary Firm SEC Registration
ROCKLAND CAPITAL, LP
CRD#: 156791 / SEC#: 801-73791
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
ROCKLAND CAPITAL, LP
CRD#: 156791 / SEC#: 801-73791
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 2,680,081,419 |
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.
