David M. 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 Michael Anderson, who also goes by David A Anderson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 7 firms and has passed the Series 63, Series 7 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
April 30, 1991 - July 17, 1991
FINANCIAL WEST GROUP
October 3, 1989 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
November 8, 1988 - August 15, 1989
TRADEMARK INVESTMENT SERVICES, INC.
July 18, 1984 - June 16, 1988
BLISS SECURITIES, INC.
May 12, 1972 - May 30, 1975
ADA SECURITIES CORPORATION
March 15, 1971 - July 2, 1972
SECURITIES CLEARING CORPORATION
October 27, 1970 - June 26, 1971
PATTERSON, MUNYON & ASSOCIATES, 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
Series 1
Date: 8/12/1965
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
