David O. Blake
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 Owen Blake was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
March 9, 2012 - January 14, 2013
SPC
February 14, 2012 - January 14, 2013
SIGMA FINANCIAL CORPORATION
August 18, 2010 - February 15, 2012
CINCINNATI ANALYSTS, INC.
August 7, 2002 - February 15, 2012
CINCINNATI ANALYSTS, INC.
March 15, 2001 - August 5, 2002
CETERA WEALTH SERVICES, LLC
August 17, 2000 - March 23, 2001
PFS INVESTMENTS INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
