David W. Gaiser
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 Wesley Gaiser III, who also goes by Dave Gaiser, David W Gaiser, David Wesley Gaiser, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 16 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 5, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - January 24, 2019
VOYA FINANCIAL ADVISORS, INC.
July 30, 2015 - January 24, 2019
VOYA FINANCIAL ADVISORS, INC.
September 19, 2013 - August 27, 2014
OSAIC FA, INC.
September 18, 2013 - August 27, 2014
OSAIC FA, INC.
July 9, 2012 - September 16, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 16, 2012 - September 16, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 2, 2011 - May 25, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 14, 2008 - October 2, 2009
EQUITABLE DISTRIBUTORS, LLC
June 9, 2005 - April 11, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
February 15, 2005 - April 11, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 16, 2004 - November 30, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 13, 2002 - October 10, 2003
TOWER SQUARE SECURITIES, INC.
May 9, 2001 - April 30, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 27, 1994 - May 2, 2001
PACIFIC SELECT DISTRIBUTORS, LLC
October 22, 1990 - June 20, 1994
WAMU INVESTMENTS, INC.
February 25, 1986 - May 20, 1989
CAPITAL BROKERAGE CORPORATION
January 10, 1984 - February 3, 1986
LEHMAN BROTHERS INC.
May 19, 1980 - November 11, 1983
FOSTER & MARSHALL INC.
August 1, 1979 - June 27, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
August 1, 1979 - June 27, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1979 - June 27, 1980
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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: 10/3/1983
Interest Rate Options ExaminationSeries 1
Date: 7/28/1979
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
