David J. Kriz
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 Joseph Kriz Jr, who also goes by David J Kriz Jr, David J Kriz, David Joseph Kriz, 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 66, Series 7TO, 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
August 14, 2023 - December 31, 2025
THE LEADERS GROUP, INC.
August 23, 2016 - October 14, 2020
TRANSAMERICA CAPITAL, LLC
March 4, 2013 - March 29, 2016
CURIAN CAPITAL, LLC
December 4, 2007 - August 23, 2016
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 21, 2005 - November 2, 2007
EQUITABLE ADVISORS, LLC
June 13, 2005 - November 2, 2007
EQUITABLE ADVISORS, 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
Series 7TO
Date: 7/8/2023
General Securities Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
