Inactive

David John Ettl

David Ettl Financial

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Current Employers

David Ettl Financial

Lincoln, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2011-09-13

CA RA
APPROVED

Since 2011-09-13

Branch Locations

Lincoln, CA • 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
David Ettl Financial	Lincoln	CA	08/2011	Present

08/2011 → Present

David Ettl Financial

Lincoln, CA

Previous Registrations

2009-03-23 → 2011-07-15

Robert W. Baird & Co. Incorporated

Roseville, CA

Grass Valley, CA
2003-12-15 → 2009-03-23

Wells Fargo Clearing Services, Llc

Grass Valley, CA

Grass Valley, CA
1997-07-08 → 2003-10-30

Ubs Financial Services Inc.

Grass Valley, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-11-06

S63 Uniform Securities Agent State Law Examination

1986-11-06

View on SEC IAPD

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