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DAVID A PENDLETON
DAVID PENDELTON, DAVID ALLEN PENDLETON, DAVID PENDLETON
CRD#: 869125
IA
B
MORGAN STANLEYCRD#: 149777 325 South Main Street
Frankenmuth, MI 48734
Frankenmuth, MI 48734
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3/3/1999
Customer Dispute
Settled
2/19/1992
Regulatory
Final
State Registrations
B
Alabama 5/17/2017
B
Nebraska 7/26/2018
B
Arizona 11/7/2014
B
Nevada 11/7/2014
B
California 11/10/2014
B
New Jersey 11/10/2014
B
Colorado 11/7/2014
B
New York 11/7/2014
B
District of Columbia 8/20/2015
B
North Carolina 11/7/2014
B
Florida 11/7/2014
B
Ohio 11/7/2014
B
Georgia 11/7/2014
B
Oregon 11/10/2014
B
Hawaii 11/7/2014
B
Pennsylvania 11/12/2014
B
Illinois 11/12/2014
B
Rhode Island 12/15/2017
B
Indiana 11/20/2014
B
South Carolina 11/12/2014
B
Kentucky 11/13/2014
B
Tennessee 11/7/2014
B
Louisiana 7/27/2020
B
Texas 11/7/2014
B
Maryland 11/7/2014
IA
Texas 11/7/2014
B
Massachusetts 11/7/2014
B
Utah 11/7/2014
B
Michigan 11/7/2014
B
Virginia 11/7/2014
IA
Michigan 11/12/2014
B
Washington 11/7/2014
B
Minnesota 11/10/2014
B
Wisconsin 11/7/2014
B
Montana 11/7/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/7/2014
B
Registered with this firm since 11/7/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/22/2004 - 11/17/2014 | GRAND BLANC, MI | |
B | 02/27/2004 - 11/17/2014 | GRAND BLANC, MI | |
B | 07/31/1993 - 03/11/2004 | NEW YORK, NY | |
B | 03/04/1988 - 07/31/1993 | NEW YORK, NY | |
B | 07/27/1979 - 04/12/1988 |
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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.