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Detailed Report
DAVID LEE MAYNARD
CRD#: 4502473
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19901992199419961998200020022004200620082010IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2009 (2 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2007 - 2007 (<1 year)IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2003 - 2007 (3 years)
Disclosure(s)
View By:
5/5/2010
Regulatory
Final
6/18/1990
Criminal
Final Disposition
Previous Registration(s)
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 05/29/2007 - 10/29/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BAKERSFIELD, CA
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 02/27/2007 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) BAKERSFIELD, CA
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 08/04/2003 - 02/20/2007 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) BAKERSFIELD, CA
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.