David L. Anderson
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 Leon Anderson, who also goes by David L Anderson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1964. David had worked at 7 firms and has passed the Series 63, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2005 - April 18, 2007
FELTL & COMPANY
September 9, 2002 - June 3, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 2, 1998 - September 10, 2002
RBC CAPITAL MARKETS, LLC
January 7, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 10, 1988 - January 16, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 27, 1976 - June 21, 1988
CITIGROUP GLOBAL MARKETS INC.
January 3, 1964 - February 27, 1976
SMITH, BARNEY & CO. INCORPORATED
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
PC
Date: 9/4/1987
AMEX Put and Call ExamSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 2/4/1957
Registered Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
