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David Armando Saenz

CRD# 3161952·Registered 1999 - 2018
Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Armando Saenz, who also goes by David A Saenz, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1999 - 2018. David had worked at 3 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David A Saenz

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

THINKOPTION ADVISORS, LLC·CRD# 281157
RIA
Los Angeles, CA
January 20, 2017 - March 14, 2018
THOMAS WEISEL PARTNERS LLC·CRD# 46237
BD
San Francisco, CA
November 17, 1999 - July 16, 2001
JPMSI·CRD# 15733
BD
New York, NY
March 8, 1999 - August 20, 1999

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Current Firm

TA
THINKOPTION ADVISORS, LLC

THINKOPTION ADVISORS, LLC

CRD#: 281157

Contact Information

Main Address

1901 Avenue Of The Stars 2nd Floor, Los Angeles, CA, 90067

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2015About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2015About the Series 65 exam

Series 3 — National Commodity Futures Examination

Passed Aug 2017About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1999About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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