David A. Garber
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 Alexander Garber, who also goes by David A Garber, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 4 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2010 - June 28, 2013
TD AMERITRADE, INC.
April 22, 2004 - October 22, 2004
TD AMERITRADE, INC.
April 15, 2004 - October 22, 2004
TD AMERITRADE, INC.
July 23, 2003 - March 24, 2004
AMERIPRISE ADVISOR SERVICES, INC.
May 23, 2002 - March 24, 2004
AMERIPRISE ADVISOR SERVICES, INC.
October 13, 2000 - February 25, 2002
UBS FINANCIAL SERVICES INC.
July 6, 2000 - November 9, 2000
MORGAN STANLEY DW 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
