David VangeffenCRD Number: 1890754
Current Firm: Raymond James Financial Services Advisors, Inc.
David Vangeffen (CRD# 1890754) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Lafayette, LA and has over 25 years of experience in the finance industry.
Msi Financial Services, Inc.
Eagle Strategies LLC
1st Global Advisors Inc.
|Raymond James Financial Services Advisors, Inc.||Lafayette, LA||Jan 2009 - Current||7|
|Dl Van Geffen Limited||Lafayette, LA||Jan 1998 - Current||18|
|Raymond James Financial Services, Inc.||Lafayette, LA||Jun 1996 - Current||20|
|Van Geffen Bros. LLC||Lake Arthur, LA||Jul 2011 - Aug 2014||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1991|
|S66||NASAA Uniform Combined State Law Examination||May 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management64,210MILLIONS
Total Number of Accounts224,839ACCOUNTS
Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV