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Detailed Report
DAVID VILLARREAL III
DAVID VILLARREAL, DAVID VILLARREAL III
CRD#: 5876265
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Previous Investment Adviser
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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
201120122013201420152016201720182019202020212022IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2019 - 2020 (<1 year)IAMORGAN STANLEY (CRD# 149777)2018 - 2019 (1 year)IAMAM GLOBAL FINANCIAL SERVICES, LLC (CRD# 152932)2017 - 2018 (<1 year)IAMAM GLOBAL FINANCIAL SERVICES, LLC (CRD# 152932)2014 - 2016 (2 years)IANMS CAPITAL ASSET MANAGEMENT, INC. (CRD# 149678)2013 - 2014 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2011 - 2012 (<1 year)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2011 - 2011 (<1 year)
Disclosure(s)
View By:
4/27/2021
Regulatory
Final
10/13/2020
Employment Separation After Allegations
8/25/2011
Judgment / Lien
Previous Registration(s)
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 12/03/2019 - 11/06/2020 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) BLACKFOOT, ID
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 07/09/2018 - 12/04/2019 MORGAN STANLEY (CRD#:149777) OXNARD, CA
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 10/12/2017 - 08/16/2018 MAM GLOBAL FINANCIAL SERVICES, LLC (CRD#:152932) VENTURA, CA
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 03/26/2014 - 12/31/2016 MAM GLOBAL FINANCIAL SERVICES, LLC (CRD#:152932) ELK GROVE, CA
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 01/04/2013 - 03/04/2014 NMS CAPITAL ASSET MANAGEMENT, INC. (CRD#:149678) BEVERLY HILLS, CA
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 09/12/2011 - 03/16/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
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 04/11/2011 - 10/11/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) BEVERLY HILLS, CA
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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.