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DM

David C. Mruk

Some features on this profile are disabled
CRD#: 2752511
DM

Professional summary

David Christopher Mruk, who also goes by David C Mruk, was a registered financial professional .

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David had worked at 1 firm and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David C Mruk

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 1, 1998 - June 24, 2003

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Tennessee
(2/27/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/9/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/25/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OD
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
OPPENHEIMER INVESTOR SERVICES, INC. | OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834 / SEC#: , 8-22992

BD
Terminated by SEC on 02/11/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/03/1978
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.SOLE SHAREHOLDER105360
FOXSON, JENNIFER LYNNSECRETARY2188381
MCDONOUGH, JOHN CARLINCHAIRMAN, CEO, DIRECTOR & PRESIDENT2363299
OH, TONY DONGHUITREASURER4947989
WHITE, DONNA MARIECHIEF COMPLIANCE OFFICER2432232

Disclosures

Regulatory Event5
Civil Event1

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.

Company Information

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

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