David Ladin
Professional summary
David Ladin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Ladin, who also goes by David Laden, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE 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
February 17, 2014 - September 30, 2015
CUNA BROKERAGE SERVICES, INC.
January 28, 2014 - September 30, 2015
CUNA BROKERAGE SERVICES, INC.
November 23, 2007 - January 21, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 20, 2004 - November 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2002 - October 20, 2004
QUICK & REILLY, INC.
November 21, 2001 - October 20, 2004
QUICK & REILLY, INC.
August 20, 1999 - October 2, 2001
NATIONAL CLEARING CORP.
June 30, 1999 - September 21, 1999
BROOKSHIRE SECURITIES CORPORATION
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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