Individual Firm
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DAVID LAMON WARNER
CRD#: 2925118
IA
B
PNC INVESTMENTSCRD#: 129052 606 SOUTH KING STREET
LEESBURG, VA 20175
LEESBURG, VA 20175
View By:
8/16/2022
Customer Dispute
Closed-No Action
State Registrations
B
Colorado 4/11/2025
B
New York 10/13/2022
B
Connecticut 1/25/2013
B
North Carolina 6/24/2019
B
District of Columbia 1/8/2013
B
Ohio 5/12/2021
B
Florida 7/15/2013
B
Oregon 1/3/2017
B
Georgia 8/10/2017
B
Pennsylvania 10/5/2016
B
Idaho 10/29/2019
B
South Carolina 5/8/2019
B
Kentucky 3/29/2024
B
Texas 3/4/2015
B
Maryland 4/7/2011
B
Virginia 4/7/2011
B
Nevada 6/17/2024
IA
Virginia 4/7/2011
B
New Jersey 4/27/2016
B
West Virginia 1/2/2015
B
New Mexico 4/21/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/7/2011
B
Registered with this firm since 4/7/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/17/2010 - 03/24/2011 | ANNAPOLIS, MD | |
B | 09/17/2010 - 03/24/2011 | ANNAPOLIS, MD | |
IA | 10/26/2009 - 12/31/2009 | BOSTON, MA | |
B | 06/30/2000 - 12/31/2009 | CHARLOTTE, NC | |
B | 08/13/1997 - 06/29/2000 | MALVERN, PA |
BOSTON, MA
10/26/2009 - 12/31/2009
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.