David Krikorian
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 Krikorian, who also goes by Tavit Ardashir Krikorian, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2017 - June 30, 2022
CUNA BROKERAGE SERVICES, INC.
October 20, 2017 - June 30, 2022
CUNA BROKERAGE SERVICES, INC.
December 8, 2015 - October 11, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2015 - October 11, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2015 - December 10, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
January 26, 2015 - December 10, 2015
BBVA SECURITIES INC.
January 20, 2012 - December 24, 2014
CUSO FINANCIAL SERVICES, L.P.
January 20, 2012 - December 24, 2014
CUSO FINANCIAL SERVICES, L.P.
January 3, 2011 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 22, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 26, 2006 - August 16, 2007
PRUCO SECURITIES, LLC.
October 29, 2003 - August 16, 2007
PRUCO SECURITIES, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
