David B. Schrohe
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 Bradley Schrohe was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 5 firms and has passed the SIE, 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 4, 2021 - June 12, 2024
MIDDLEMARCH SECURITIES LLC
September 9, 2015 - December 31, 2016
MML INVESTORS SERVICES, LLC
August 22, 2013 - August 29, 2013
MML INVESTORS SERVICES, LLC
October 4, 2010 - November 10, 2011
UBS FINANCIAL SERVICES INC.
June 1, 2009 - July 14, 2010
MORGAN STANLEY
March 7, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
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
MIDDLEMARCH SECURITIES LLC
CRD#: 283508 / SEC#: , 8-69758
Contact information
FINRA licenses (8 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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