Individual Firm
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DAVID ALAN THEIS
DAVE THEIS
CRD#: 1422471
IA
B
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
2
Firms
0
Licenses
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
The broker is not currently registered with any state or SRO.
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/04/2003 - 08/20/2012 | BUFFALO, MN | |
IA | 03/09/2011 - 12/31/2011 | BUFFALO, MN | |
IA | 02/11/2011 - 03/03/2011 | BUFFALO, MN |
BUFFALO, MN
12/04/2003 - 08/20/2012
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.