David A. Saenz
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 Armando Saenz, who also goes by David A Saenz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 3 firms and has passed the Series 63, Series 65, Series 3 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
January 20, 2017 - March 14, 2018
THINKOPTION ADVISORS, LLC
November 17, 1999 - July 16, 2001
THOMAS WEISEL PARTNERS LLC
March 8, 1999 - August 20, 1999
JPMSI
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
THINKOPTION ADVISORS, LLC
CRD#: 281157 / SEC#:
Contact information
Red Flags
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