David G. Sommerhaug
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 Gunnar Sommerhaug was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 16, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2013 - October 31, 2014
MARCO POLO SECURITIES LLC
May 21, 2008 - May 6, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 31, 2005 - June 15, 2006
MACQUARIE CAPITAL (USA) INC.
November 30, 1998 - June 11, 2003
DEUTSCHE BANK SECURITIES INC.
February 4, 1998 - August 7, 1998
KAUFMAN BROS., L.P.
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 55
Date: 9/4/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 7/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MARCO POLO SECURITIES LLC
CRD#: 46561 / SEC#: , 8-51480
Contact information
FINRA licenses (36 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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