David Schoep
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 Schoep, who also goes by Dave Schoep, David K Schoep, David Kenneth Schoep, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2024 - April 20, 2026
CETERA WEALTH SERVICES, LLC
March 21, 2024 - April 20, 2026
CETERA INVESTMENT ADVISERS LLC
June 7, 2019 - June 3, 2020
CETERA WEALTH SERVICES, LLC
June 7, 2019 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 7, 2019 - April 20, 2026
CETERA INVESTMENT SERVICES LLC
June 7, 2019 - April 20, 2026
CETERA FINANCIAL SPECIALISTS LLC
July 17, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 6, 2013 - June 2, 2015
CETERA WEALTH SERVICES, LLC
February 7, 2013 - June 2, 2015
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - June 2, 2015
CETERA WEALTH SERVICES, LLC
October 18, 2012 - June 2, 2015
CETERA INVESTMENT ADVISERS LLC
October 18, 2012 - June 2, 2015
CETERA FINANCIAL SPECIALISTS LLC
May 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
January 25, 2012 - April 20, 2026
CETERA ADVISORS LLC
November 30, 2007 - August 24, 2011
CETERA ADVISORS LLC
September 30, 2005 - October 10, 2007
CHARLES SCHWAB & CO., INC.
January 31, 2005 - July 28, 2005
TRANSAMERICA CAPITAL, LLC
March 31, 2000 - February 3, 2005
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 10, 1999 - January 27, 2000
JANUS HENDERSON DISTRIBUTORS US LLC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
