David W. Teng
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 Wenhou Teng, who also goes by David Wenhou Teng, David Teng, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2020 - August 21, 2020
NI ADVISORS
March 4, 2020 - August 21, 2020
NI ADVISORS
August 19, 2016 - December 31, 2016
OSAIC SERVICES, INC.
July 15, 2010 - December 22, 2015
SCOTTRADE, INC.
January 18, 2010 - July 7, 2010
CHASE INVESTMENT SERVICES CORP.
January 13, 2010 - July 7, 2010
CHASE INVESTMENT SERVICES CORP.
September 1, 2006 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2006 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2006 - August 29, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 30, 2003 - August 29, 2006
TD AMERITRADE, INC.
January 10, 2001 - August 29, 2006
TD AMERITRADE, INC.
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
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
