David R. Wickersham
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 R (mi Only) Wickersham, who also goes by David R Wickersham, Wick Wickersham, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 6, Series 27, Series 4, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2002 - June 15, 2021
TLG ADVISORS, INC.
August 30, 1995 - October 22, 2020
THE LEADERS GROUP, INC.
January 16, 1995 - August 31, 1995
SUNAMERICA SECURITIES, INC.
May 2, 1989 - January 12, 1995
D.E. FREY & COMPANY, INC.
April 11, 1988 - May 23, 1989
LEHMAN BROTHERS INC.
October 3, 1980 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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 8
Date: 12/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
