David A. Loasby
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 Andrew Loasby was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2019 - February 7, 2022
NICOLET WEALTH MANAGEMENT
January 3, 2018 - December 20, 2021
PRIVATE CLIENT SERVICES, LLC
June 6, 2017 - December 31, 2017
SII INVESTMENTS, INC.
June 6, 2017 - December 31, 2017
SII INVESTMENTS, INC.
January 27, 2010 - March 30, 2017
INVESTMENT CENTERS OF AMERICA, INC.
September 1, 2005 - March 30, 2017
SII INVESTMENTS, INC.
July 27, 2005 - March 30, 2017
SII INVESTMENTS, INC.
July 27, 2005 - March 30, 2017
INVESTMENT CENTERS OF AMERICA, INC.
June 14, 2002 - May 2, 2005
FIFTH THIRD SECURITIES, INC.
July 9, 1999 - June 6, 2002
LUMENT SECURITIES, LLC
August 12, 1996 - July 12, 1999
SUNAMERICA SECURITIES, INC.
March 20, 1996 - August 21, 1996
VANGUARD MARKETING CORPORATION
March 14, 1995 - September 5, 1995
JOSEPH CHARLES & ASSOC., INC.
Primary Firm SEC Registration
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
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
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,809 |
| AUM (Assets Under Management) | $ 3,849,158,087 |
Red Flags
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