David J. Carrillo
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 Jerome Carrillo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2016 - May 20, 2016
FIRST COMMAND ADVISORY SERVICES
February 16, 2016 - May 20, 2016
FIRST COMMAND BROKERAGE SERVICES, INC.
September 30, 2015 - October 15, 2015
WADDELL & REED
September 29, 2015 - October 15, 2015
WADDELL & REED
May 21, 2014 - July 1, 2014
OSAIC SERVICES, INC.
March 4, 2014 - July 1, 2014
OSAIC SERVICES, INC.
July 8, 2010 - October 29, 2010
U.S. BANCORP INVESTMENTS, INC.
December 8, 2006 - March 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 6, 2006 - March 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 2005 - January 30, 2006
A. G. EDWARDS & SONS, INC.
March 1, 2004 - March 2, 2004
M.L. STERN & CO., LLC.
February 13, 2004 - March 2, 2004
M.L. STERN & CO., LLC.
November 13, 2000 - July 17, 2002
A. G. EDWARDS & SONS, INC.
March 8, 1999 - November 10, 2000
MORGAN STANLEY DW INC.
July 2, 1998 - February 12, 1999
PRUCO SECURITIES, LLC.
October 10, 1997 - November 25, 1997
PAULSON INVESTMENT COMPANY LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
