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DAVID WAYNE KEELY
DAVID W KEELY, DAVID KEELY, David Wayne Keely
CRD#: 2144976
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 SAN DIEGO, CA
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Disclosures
15
Years of Experience
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State Registrations
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Arizona 6/1/2018
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Minnesota 9/5/2024
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Arizona 6/7/2018
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Minnesota 9/5/2024
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California 11/9/2017
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Oregon 9/19/2024
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California 11/13/2017
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Oregon 9/19/2024
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Hawaii 2/22/2021
SRO Registrations
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Registered with this firm since 11/13/2017
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/24/2016 - 10/31/2017 | SAN DIEGO, CA | |
B | 10/24/2016 - 10/31/2017 | SAN DIEGO, CA | |
IA | 11/14/2014 - 10/04/2016 | SAN DIEGO, CA | |
B | 08/06/2014 - 10/04/2016 | SAN DIEGO, CA | |
B | 05/23/1996 - 12/31/1997 | OAKDALE, MN | |
B | 05/20/1991 - 05/24/1994 | OAKDALE, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.