Travis M. David
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.
Travis M David, who also goes by Travis Michael David, was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2000. Travis had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 31, Series 4 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
June 27, 2008 - March 7, 2013
TD AMERITRADE, INC.
June 27, 2008 - March 7, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 18, 2008 - March 7, 2013
TD AMERITRADE, INC.
August 9, 2002 - November 19, 2002
MORGAN STANLEY DW INC.
July 17, 2002 - November 19, 2002
MORGAN STANLEY DW INC.
February 11, 2000 - February 28, 2001
ICAPITAL MARKETS 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
