David J. Foley
Professional summary
David John Foley, AIF®, who also goes by David J Foley, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David John Foley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2023 - Present
STANCORP EQUITIES, INC.
Office #1: 1100 Sw 6th Avenue, Portland, OR 97204January 7, 2015 - December 31, 2022
SECURIAN FINANCIAL SERVICES, INC.
February 14, 2008 - December 15, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
November 13, 2002 - December 6, 2007
JOHN HANCOCK DISTRIBUTORS LLC
February 1, 2002 - October 9, 2002
TCF INVESTMENTS, INC.
September 7, 2001 - December 31, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 16, 2000 - June 11, 2001
INVESTORS BROKERAGE SERVICES, INC.
September 8, 2000 - November 10, 2000
FARMERS FINANCIAL SOLUTIONS, LLC
May 19, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
November 1, 1999 - November 30, 1999
IDS LIFE INSURANCE COMPANY
November 1, 1999 - November 30, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 8, 1998 - October 29, 1999
INVESTORS BROKERAGE SERVICES, INC.
December 5, 1997 - December 1, 1998
DWS DISTRIBUTORS, 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
(1/3/2023)
(1/3/2023)
Exams
FINRA
Current Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
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.
