David A. Shroyer
Professional summary
David Alan Shroyer, who also goes by David A Shroyer, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Alan Shroyer's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 16, 2019 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101March 9, 2012 - October 4, 2018
RIVERSOURCE DISTRIBUTORS, INC.
June 7, 2011 - November 21, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 7, 2011 - November 21, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 26, 2008 - May 13, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 22, 2008 - August 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
December 20, 2007 - August 18, 2008
AMERIPRISE FINANCIAL SERVICES, 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
(4/16/2019)
Exams
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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