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Detailed Report
DAVID WAYNE KRUMREY
DAVID W. KRUMREY
CRD#: 4121845
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
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
20002002200420062008201020122014201620182020IAOPPENHEIMER & CO. INC. (CRD# 249)2009 - 2017 (8 years)IASTANFORD GROUP COMPANY (CRD# 39285)2009 - 2009 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2009 (8 years)
Disclosure(s)
View By:
4/2/2020
Customer Dispute
Settled
7/18/2019
Customer Dispute
Settled
6/21/2018
Customer Dispute
Settled
2/26/2018
Customer Dispute
Award / Judgment
1/3/2018
Regulatory
Final
10/6/2017
Customer Dispute
Settled
8/31/2017
Employment Separation After Allegations
8/18/2017
Customer Dispute
Settled
Previous Registration(s)
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 03/13/2009 - 09/11/2017 OPPENHEIMER & CO. INC. (CRD#:249) THE WOODLANDS, TX
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 01/07/2009 - 03/16/2009 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
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 04/17/2000 - 01/09/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) KINGWOOD, TX
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.