Duane A. Pavao
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.
Duane Alan Pavao, who also goes by Duane Alan Pavao, Duane Pavao, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1996. Duane had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 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
February 26, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2019 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2019 - January 11, 2021
TD AMERITRADE, INC.
August 3, 2017 - January 11, 2018
PRUCO SECURITIES, LLC.
July 11, 2017 - January 11, 2018
PRUCO SECURITIES, LLC.
May 3, 2017 - June 27, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 3, 2017 - June 27, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 23, 2015 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
November 23, 2015 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
January 29, 2015 - December 1, 2015
MSI FINANCIAL SERVICES, INC.
January 29, 2015 - December 1, 2015
MSI FINANCIAL SERVICES, INC.
December 5, 2013 - January 29, 2015
OSAIC SERVICES, INC.
December 2, 2013 - January 29, 2015
OSAIC SERVICES, INC.
July 5, 2011 - December 12, 2013
LPL FINANCIAL LLC
July 5, 2011 - December 12, 2013
LPL FINANCIAL LLC
May 4, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 4, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 7, 2006 - April 1, 2009
BANCWEST INVESTMENT SERVICES, INC.
June 2, 2006 - April 1, 2009
BANCWEST INVESTMENT SERVICES, INC.
March 4, 2004 - May 17, 2006
PRINCIPAL SECURITIES, INC.
January 12, 2004 - May 17, 2006
PRINCIPAL SECURITIES, INC.
January 16, 2001 - January 23, 2004
NEW ENGLAND SECURITIES
October 28, 1999 - January 23, 2004
NEW ENGLAND SECURITIES
September 13, 1996 - November 8, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 13, 1996 - November 9, 1999
EQUITABLE ADVISORS, LLC
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
