David S. Royal
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 Scott Royal was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2016. David had worked at 1 firm and has passed the SIE, Series 7 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
January 12, 2016 - March 18, 2024
THRIVENT DISTRIBUTORS, 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
Current Firm
THRIVENT DISTRIBUTORS, LLC
CRD#: 179512 / SEC#: , 8-69606
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BEAVER, TROY ALAN | ELECTED MANAGER AND VICE PRESIDENT | 5099275 |
| CLOUTIER, JEFFREY DAVID | CHIEF FINANCIAL OFFICER | 5656265 |
| DRYDEN, EDWARD STUART | CHIEF COMPLIANCE OFFICER | 2033420 |
| JACKSON, JOHN DAVID | CHIEF LEGAL OFFICER AND SECRETARY | 5877878 |
| KREMENAK, MICHAEL WALDEN | ELECTED MANAGER AND PRESIDENT | 5892015 |
| RIESTERER, JAMIE LEE | ELECTED MANAGER | 4784706 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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