David J. Andera

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CRD#: 858634

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 John Andera was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1978. David had worked at 6 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 16, 1998 - February 13, 2017

CAPITAL INVESTMENT SERVICES OF AMERICA INC

RIA

CRD#: 110639

MILWAUKEE, WI

Past

September 17, 1997 - March 12, 1998

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

July 7, 1995 - September 17, 1997

LINK INVESTMENT SERVICES, INC.

CRD#: 33367

Past

February 22, 1994 - July 10, 1995

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 4, 1990 - February 22, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 1, 1978 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INVESTMENT SERVICES OF AMERICA INC

CRD#: 110639 / SEC#: 801-15052

RIA

Registered Investment Advisory firm - (2/21/1980 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/18/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/22/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/25/1979

Registered Options Principal Examination

Current Firm

CAPITAL INVESTMENT SERVICES OF AMERICA INC

CRD#: 110639 / SEC#: 801-15052

RIA

Registered Investment Advisory firm - (2/21/1980 Approved)

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Contact information

Main Address

111 E. Wisconsin Ave, Suite 1310, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 278-7744

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 12-2024 (12/3/2024)

Regulatory assets under management

Total Number of Accounts	888
AUM (Assets Under Management)	$ 1,228,290,821

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.

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Advisor Monitoring

Firm Stability Insights

David J. Andera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FISERV INVESTOR SERVICES, INC.

LINK INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

BLUNT ELLIS & LOEWI INCORPORATED

Primary Firm SEC Registration

CAPITAL INVESTMENT SERVICES OF AMERICA INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1979

Series 3

Date: 4/18/1983

Series 5

Date: 10/22/1981

Series 7

Date: 10/21/1978

Series 24

Date: 5/19/1983

Series 4

Date: 6/25/1979

Current Firm

CAPITAL INVESTMENT SERVICES OF AMERICA INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT SERVICES OF AMERICA INC

TRUST BUT VERIFY

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