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TD

Troy C. Davis

ALLIANZ LIFE FINANCIAL SERVICES
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 2941592
TD

Professional summary

Troy Conrad Davis is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.

Troy is registered as a RR (Registered Representative) and started their career in finance in 1998. Troy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Troy Conrad Davis's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 18, 2007 - Present

ALLIANZ LIFE FINANCIAL SERVICES, LLC

Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416
BD
CRD#: 612
Minneapolis, MN
Past

November 10, 2004 - August 29, 2006

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
MINNEAPOLIS, MN
Past

March 12, 2002 - August 7, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 12, 2002 - August 7, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 28, 1998 - December 11, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 28, 1998 - December 11, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/3/2022)
RR
Arkansas
(7/6/2022)
RR
Florida
(7/12/2022)
RR
Georgia
(10/19/2023)
RR
Illinois
(6/22/2011)
RR
Indiana
(6/22/2011)
RR
Iowa
(7/25/2023)
RR
Kentucky
(6/22/2011)
RR
Maryland
(3/27/2019)
RR
Michigan
(11/20/2009)
RR
Minnesota
(4/18/2007)
RR
Mississippi
(4/21/2017)
RR
Montana
(10/12/2023)
RR
New York
(9/14/2022)
RR
North Carolina
(1/3/2024)
RR
Ohio
(6/22/2011)
RR
Pennsylvania
(4/11/2017)
RR
South Dakota
(6/14/2024)
RR
Tennessee
(4/11/2017)
RR
Texas
(6/6/2023)
RR
Virginia
(9/14/2022)
RR
West Virginia
(9/17/2012)
RR
Wisconsin
(6/22/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/7/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/29/2011
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AL
ALLIANZ LIFE FINANCIAL SERVICES, LLC
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.

CRD#: 612 / SEC#: , 8-13630

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297
Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117
Phone number
(763) 765-6500
Established
Minnesota since 11/20/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICAOWNER
DIAN, MATTHEW CHRISTOPHERCHIEF COMPLIANCE OFFICER2246088
GAUMOND, WILLIAM EDWARDDIRECTOR5294073
HELMEN, JOHN CURTISASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS4988276
LORD-KRAHN, KRISTINE MARIECHIEF LEGAL OFFICER4241291
THOMES, ERIC JONCHIEF EXECUTIVE OFFICER4645308
WALTHER, COREY JAYPRESIDENT2398952
WYSOCKI, REBECCAPRINCIPAL FINANCIAL OFFICER6558204
WYSOCKI, REBECCACHIEF FINANCIAL OFFICER6558204
WYSOCKI, REBECCAPRINCIPAL OPERATIONS OFFICER6558204

Disclosures

Regulatory Event1

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.

Company Information

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612Minneapolis, MN 55416

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