David Edwin Nau

Mml Investors Services, LLC

Mechanicsburg, PA

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Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-20
PA	RA	APPROVED	2017-03-21

TX RA
APPROVED

Since 2022-01-20
PA RA
APPROVED

Since 2017-03-21

Branch Locations

100 Sterling Parkway Suite 307, Mechanicsburg, PA 17050 • United States

Carlisle, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Harrisburg	PA	08/2015	02/2017
Charles Schwab Bank	Harrisburg	PA	08/2015	02/2017
Massmutual	Mechanicsburg	PA	02/2017	Present
Mml Investors Services	Mechanicsburg	PA	03/2017	Present

08/2015 → 02/2017

Charles Schwab & Co., Inc.

Harrisburg, PA
08/2015 → 02/2017

Charles Schwab Bank

Harrisburg, PA
02/2017 → Present

Massmutual

Mechanicsburg, PA
03/2017 → Present

Mml Investors Services

Mechanicsburg, PA

Previous Registrations

2015-08-28 → 2017-02-11

Charles Schwab & Co., Inc.

Camp Hill, PA
2014-06-03 → 2015-03-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Reston, VA

Vienna, VA
2013-04-29 → 2013-12-10

Cuso Financial Services, L.P.

San Diego, CA

Germantown, MD

Gaithersburg, MD
2012-05-09 → 2013-04-18

Pnc Wealth Management Llc

Germantown, MD

Germantown, MD

Olney, MD

Gaithersburg, MD

Gaithersburg, MD
2007-04-13 → 2012-01-17

Charles Schwab & Co., Inc.

Gaithersburg, MD
2005-01-01 → 2007-03-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Vienna, VA

Vienna, VA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-17

S66 Uniform Combined State Law Examination

2004-12-17

Other Names

David E Nau
David Edwin Nau

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC

AVANTRA FAMILY WEALTH, INC.

WIENKEN ADVISORS, LTD.

THE APPALACHIAN FINANCIAL GROUP

COMMONWEALTH FINANCIAL NETWORK

SEASIDE WEALTH ADVISORS LLC

LIFEGUIDE FINANCIAL ADVISORS, LLC

LPL FINANCIAL LLC

Other Investors

HOWARD GLENN AMMONS

RYAN JEFFREY STEPHENSON

Jordan A Lawson

Caden Edward Malone

Benjamin James Glatfelter

DONALD FORD WEAVER

Steven Bentley Thompson

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Mechanicsburg, PA

AVANTRA FAMILY WEALTH, INC. · MECHANICSBURG, PA

WIENKEN ADVISORS, LTD. · MECHANICSBURG, PA

THE APPALACHIAN FINANCIAL GROUP · MECHANICSBURG, PA

MML INVESTORS SERVICES, LLC · Mechanicsburg, PA

MML INVESTORS SERVICES, LLC · Mechanicsburg, PA

COMMONWEALTH FINANCIAL NETWORK · Mechanicsburg, PA

SEASIDE WEALTH ADVISORS LLC · Mechanicsburg, PA

More in Mechanicsburg, PA

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