David Amable
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 Amable was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2019. David had worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2019 - July 25, 2019
TEACHERS PERSONAL INVESTORS SERVICES, INC.
February 1, 2019 - July 25, 2019
NUVEEN SECURITIES, LLC
January 24, 2019 - July 22, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL 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
Series 99TO
Date: 1/24/2019
Operations Professional ExaminationCurrent Firm
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
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.
