David A. Froscheiser
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 A Froscheiser, who also goes by David Andrew Froscheiser, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 10 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - July 3, 2018
KESTRA ADVISORY SERVICES, LLC
November 12, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
November 10, 2015 - July 3, 2018
KESTRA INVESTMENT SERVICES, LLC
April 29, 2015 - October 9, 2015
SECURITIES AMERICA ADVISORS, INC.
April 21, 2015 - October 9, 2015
SECURITIES AMERICA, INC.
August 27, 2014 - April 28, 2015
EAGLE STRATEGIES LLC
July 25, 2014 - April 28, 2015
NYLIFE SECURITIES LLC
July 27, 2010 - January 26, 2012
LOCKTON INVESTMENT ADVISORS, LLC
July 27, 2010 - January 26, 2012
LOCKTON INVESTMENT SECURITIES, LLC
October 31, 2006 - July 28, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
November 4, 2005 - May 3, 2006
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
