David W. Posley
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 W Posley JR, who also goes by David W Posley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2011. David had worked at 3 firms and has passed the Series 66 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
October 16, 2013 - April 4, 2014
LEGEND ADVISORY, LLC
October 16, 2013 - April 4, 2014
LEGEND EQUITIES CORPORATION
January 25, 2012 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
December 6, 2011 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
