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Detailed Report
DAVID LEE JERKE
CRD#: 5129935
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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
20062008201020122014201620182020202220242026IALPL FINANCIAL LLC (CRD# 6413)2021 - 2024 (3 years)IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2020 - 2021 (<1 year)IAKMS FINANCIAL SERVICES, INC (CRD# 3866)2014 - 2020 (6 years)IAKMS FINANCIAL SERVICES, INC (CRD# 3866)2006 - 2012 (6 years)
Disclosure(s)
View By:
3/12/2025
Customer Dispute
Settled
3/3/2025
Regulatory
Final
12/16/2024
Employment Separation After Allegations
Previous Registration(s)
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 01/14/2021 - 12/23/2024 LPL FINANCIAL LLC (CRD#:6413) TACOMA, WA
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 11/06/2020 - 01/14/2021 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) LA VISTA, NE
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 03/10/2014 - 11/06/2020 KMS FINANCIAL SERVICES, INC (CRD#:3866) TACOMA, WA
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 06/02/2006 - 12/31/2012 KMS FINANCIAL SERVICES, INC (CRD#:3866) TACOMA, WA
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.