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Detailed Report
DAVID ALAN THEIS
DAVE THEIS
CRD#: 1422471
IA
Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2003200420052006200720082009201020112012201320142 FIRMS2011 - 2011 (<1 year)IASECURITIES MONITORING GROUP, LLC (CRD# 113242)2003 - 2012 (8 years)
Disclosure(s)
View By:
8/29/2013
Regulatory
Final
7/26/2012
Regulatory
Final
3/23/2012
Customer Dispute
Award / Judgment
9/20/2011
Customer Dispute
Award / Judgment
10/8/2010
Customer Dispute
Award / Judgment
Previous Registration(s)
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 12/04/2003 - 08/20/2012 SECURITIES MONITORING GROUP, LLC (CRD#:113242) BUFFALO, MN
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 03/09/2011 - 12/31/2011 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) BUFFALO, MN
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 02/11/2011 - 03/03/2011 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) BUFFALO, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.