David R. Juergens
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 Juergens, who also goes by David R Juergens, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 5 firms and has passed the Series 65, Series 63, SIE, 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
May 11, 2015 - March 1, 2016
TD AMERITRADE, INC.
May 11, 2015 - March 1, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 11, 2015 - March 1, 2016
TD AMERITRADE, INC.
January 13, 2014 - May 1, 2015
SANTANDER SECURITIES LLC
November 1, 2013 - May 1, 2015
SANTANDER SECURITIES LLC
November 9, 2011 - September 17, 2013
M&T SECURITIES, INC.
August 10, 2011 - November 3, 2011
CITIZENS SECURITIES, INC.
September 19, 2005 - August 11, 2011
M&T SECURITIES, INC.
State Registrations and Notice Filings
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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
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