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Information

Other Names: Dave Tyson Klaus
Firm:
Type: Dual Registration
Description

David Klaus is a financial professional at Metlife Securities Inc., a broker-dealer with over 6,550 registered representatives nationwide. David has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Tyson Klaus has not answered any questions on Financial Q&A.

Top Guides

David Tyson Klaus has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Metlife Securities Inc. 6 years, 3 months Jan 2008 - Present
Eli Lilly 5 years, 4 months Sep 2002 - Jan 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/14/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/14/2013
10/10/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 03/26/2008
Uniform Securities Agent State Law Examination Series 63 01/22/2008
General Securities Representative Examination Series 7 01/21/2008

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees