David W. Asplund
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 Waldemar Asplund JR, who also goes by David W Asplund Jr, David W Jr Asplund, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1996. David had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1999 - June 22, 2010
FSIC
January 29, 1998 - June 22, 2010
FSIC
October 15, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 15, 1996 - February 2, 1998
SIGNATOR INVESTORS, 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
FSIC
CRD#: 37813 / SEC#: 801-64354, 8-48032
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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