David G. Kluender
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 George Kluender was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 3 firms and has passed the SIE, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1979 - May 12, 2017
ALLISON-WILLIAMS COMPANY
January 13, 1976 - February 19, 1979
JM DISSOLUTION, INC.
August 26, 1975 - July 1, 1976
JURAN & MOODY CORPORATE SECURITIES
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
F04
Date: 11/9/1978
Financial Principal ExaminationSeries 00
Date: 8/21/1975
General Securities Principal ExaminationCurrent Firm
ALLISON-WILLIAMS COMPANY
CRD#: 29 / SEC#: , 8-3223
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B&T CAPITAL INC | HOLDING COMPANY | |
| LARSON, GREGORY ALAN | CHAIRMAN, CEO, CCO | 2097773 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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