David H. Geil
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 Harwood Geil was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 15 firms and has passed the Series 63, Series 65, Series 6, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2012 - September 3, 2013
KMS FINANCIAL SERVICES, INC.
July 10, 2012 - September 3, 2013
KMS FINANCIAL SERVICES, INC.
March 31, 2008 - October 31, 2008
EXETER FINANCIAL, LLC
February 4, 2008 - November 18, 2008
BMA SECURITIES, LLC
January 8, 2008 - February 4, 2008
THE SHEMANO GROUP, INC.
February 22, 2005 - January 18, 2008
RMIN SECURITIES, INC.
February 9, 2005 - January 18, 2008
RMIN SECURITIES, INC.
May 15, 2002 - February 4, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 15, 2002 - February 4, 2005
OSAIC FA, INC.
August 18, 1999 - May 3, 2002
NEW ENGLAND SECURITIES
November 5, 1996 - November 7, 1996
SUNAMERICA SECURITIES, INC.
March 21, 1995 - October 13, 1999
LOCUST STREET SECURITIES, INC.
June 6, 1994 - March 15, 1995
FIDELITY EQUITY SERVICES CORPORATION
April 19, 1994 - May 24, 1994
SIGNATOR INVESTORS, INC.
August 3, 1987 - March 27, 1991
FIRST PHOENIX SECURITIES, INC.
February 9, 1987 - August 11, 1987
FIDELITY EQUITY SERVICES CORPORATION
March 9, 1978 - March 20, 1987
VOYA FINANCIAL ADVISORS, INC.
December 4, 1975 - April 3, 1978
SIGNATOR INVESTORS, INC.
December 4, 1975 - May 24, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 11/28/1975
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
