David A. Nungesser
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 Allen Nungesser, who also goes by Dave Nungesser, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 5 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
May 18, 2018 - January 3, 2019
WOODMEN FINANCIAL SERVICES, INC.
August 30, 2016 - January 12, 2018
TRUIST ADVISORY SERVICES, INC.
January 25, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 14, 2011 - January 12, 2018
TRUIST INVESTMENT SERVICES, INC.
October 23, 2009 - January 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 3, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2008 - December 1, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 14, 2003 - December 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 14, 2003 - December 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2001 - March 27, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 20, 2001 - March 27, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 30, 1999 - August 8, 2001
STERNE, AGEE & LEACH, INC.
November 14, 1996 - December 11, 1999
RAYMOND JAMES & ASSOCIATES, INC.
October 26, 1993 - November 22, 1996
CITIGROUP GLOBAL MARKETS INC.
October 15, 1990 - October 28, 1993
WACHOVIA SECURITIES, INC.
August 25, 1989 - October 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 15, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 14, 1988 - October 28, 1993
WACHOVIA SECURITIES, INC.
November 27, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
May 2, 1983 - December 4, 1984
UBS FINANCIAL SERVICES INC.
May 18, 1981 - May 3, 1983
LEHMAN BROTHERS INC.
May 9, 1979 - May 17, 1981
CITIGROUP GLOBAL MARKETS INC.
July 1, 1977 - June 21, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
WOODMEN FINANCIAL SERVICES, INC.
CRD#: 117365 / SEC#: , 8-53592
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WFS HOLDINGS, INC. | 100% OWNER OF WOODMEN FINANCIAL SERVICES, INC. | |
| BENGTSON, CYNTHIA SHAWN | DIRECTOR AND CHAIRMAN | 6073749 |
| BUDERUS, TIMOTHY KEVIN | PRESIDENT, CEO AND DIRECTOR | 3083401 |
| DARLING, DANIEL RUSSELL | SENIOR SALES MANAGER | 5220507 |
| DAY, JACOB MICHAEL | DIRECTOR | 5003086 |
| DRIFFILL, CHARLES REICH JR. | DIRECTOR | 5239194 |
| EBLEN, LINDSEY JEAN | FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER | 4496236 |
| OLARI, NICHOLAS CONNER | DIRECTOR AND SECRETARY | 6079027 |
| PORTER, RAHJA | CHIEF COMPLIANCE OFFICER | 6860469 |
| ROSAUER, ADAM THOMAS | MANAGER OF OPERATIONS | 4761408 |
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.
