Connie M. Bober
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.
Connie Marie Bober, who also goes by Connie M Bober, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1998. Connie had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2022 - April 5, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 27, 2018 - October 14, 2022
TD AMERITRADE, INC.
February 26, 2018 - February 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 5, 2023
TD AMERITRADE, INC.
May 3, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 4, 2009 - February 26, 2018
SCOTTRADE, INC.
September 17, 2007 - July 9, 2009
MSI FINANCIAL SERVICES, INC.
February 6, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 6, 2006 - July 9, 2009
MSI FINANCIAL SERVICES, INC.
July 17, 2003 - April 20, 2004
WELLSTONE SECURITIES, LLC
June 1, 2000 - June 25, 2003
CONSUMER CONCEPTS INVESTMENTS, INC.
March 3, 2000 - June 1, 2000
WMA SECURITIES, INC.
December 1, 1998 - November 29, 1999
WMA SECURITIES, 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 INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
