David H. Fiddler
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 Harrison Fiddler, who also goes by David Fiddler, 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, 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
July 2, 2020 - March 2, 2021
SVB INVESTMENT SERVICES INC.
April 23, 2018 - March 2, 2021
SVB INVESTMENT SERVICES INC.
February 7, 2013 - June 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2013 - June 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2011 - January 8, 2013
MML INVESTORS 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
Exams
Current Firm
SVB INVESTMENT SERVICES INC.
CRD#: 168116 / SEC#: 801-78209, 8-70327
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,816 |
| AUM (Assets Under Management) | $ 1,465,036,204 |
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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