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Detailed Report
DAVID RICKARD PENNIALL
DAVE R PENNIALL, DAVE PENNIALL, DAVID R PENNIALL, DAVID PENNIALL
CRD#: 1088267
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Investment Adviser
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Previous Broker
BEACON POINTE ADVISORS, LLCCRD#: 119290 123 S. Marengo Ave.
Pasadena, CA 91101
Registration History
198519901995200020052010201520202025IABEACON POINTE ADVISORS, LLC (CRD# 119290)2024 - Present (<1 year)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2009 - 2018 (9 years)BNRP FINANCIAL, INC. (CRD# 103717)2008 - 2009 (1 year)BAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2008 (2 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1992 - 2005 (13 years)BANCHOR NATIONAL FINANCIAL SERV... (CRD# 5774)1983 - 1992 (9 years)IABRIDGE ADVISORY LLC (CRD# 148282)2024 - 2024 (<1 year)IAADDWEALTH ADVISORS, LLC (CRD# 306554)2020 - 2024 (4 years)IABRIDGE ADVISORY LLC (CRD# 148282)2008 - 2024 (16 years)IAAWM CAPITAL, LLC (CRD# 287980)2017 - 2020 (3 years)IAPENSION ARCHITECTS ADVISORY GR... (CRD# 145242)2007 - 2013 (5 years)IAPENNIALL & ASSOCIATES, INC. (CRD# 121336)2002 - 2008 (6 years)IASUNAMERICA SECURITIES, INC. (CRD# 20068)1999 - 2002 (3 years)
License(s)

State Registrations

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California 10/28/2024
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Texas 10/25/2024
Current Registration(s)
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BEACON POINTE ADVISORS, LLC (CRD#:119290)
123 S. Marengo Ave., Pasadena, CA 91101
Registered with this firm since 10/25/2024
Previous Registration(s)
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 11/01/2024 - 12/31/2024 BRIDGE ADVISORY LLC (CRD#:148282) PASADENA, CA
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 04/30/2020 - 10/31/2024 ADDWEALTH ADVISORS, LLC (CRD#:306554) PASADENA, CA
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 10/16/2008 - 10/31/2024 BRIDGE ADVISORY LLC (CRD#:148282) PASADENA, CA
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 05/26/2017 - 08/17/2020 AWM CAPITAL, LLC (CRD#:287980) Pasadena, CA
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 10/08/2009 - 12/31/2018 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) PASADENA, CA
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 10/15/2007 - 09/05/2013 PENSION ARCHITECTS ADVISORY GROUP, LLC (CRD#:145242) PASADENA, CA
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 07/22/2008 - 10/13/2009 NRP FINANCIAL, INC. (CRD#:103717) PASADENA, CA
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 07/09/2002 - 11/20/2008 PENNIALL & ASSOCIATES, INC. (CRD#:121336) PASADNA, CA
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 10/31/2005 - 07/23/2008 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) PASADENA, CA
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 05/19/1992 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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 01/08/1999 - 08/01/2002 SUNAMERICA SECURITIES, INC. (CRD#:20068) PASADENA, CA
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 01/19/1983 - 05/19/1992 ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD#:5774)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.