David R. Konze
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 Robert Konze was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the 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
October 2, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
July 20, 2005 - May 8, 2015
STRATEGIC ADVISERS LLC
July 1, 2005 - May 7, 2015
FIDELITY BROKERAGE SERVICES LLC
April 8, 2004 - July 20, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
July 30, 1999 - March 17, 2004
IDS LIFE INSURANCE COMPANY
July 30, 1999 - March 17, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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