Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Pendleton is a financial advisor who has been in the industry since 1979. David is a registered representative with Morgan Stanley and has been with the firm since 2014. Before that, David worked at UBS Financial Services Inc., Citigroup Global Markets Inc., and Lehman Brothers Inc. David provides financial planning, pension consulting, and portfolio management services to individuals, businesses, and investment companies. David is also a Director of Frankenmuth Mutual Insurance Co. and a board member of the St. Lorenz Foundation and the Frankenmuth Community Foundation. David is dedicated to providing his clients with the highest quality financial advice and service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MI
11/07/2014 - Present
Morgan Stanley (Frankenmuth MI)
MI
02/27/2004 - 11/17/2014
UBS FINANCIAL SERVICES INC. (GRAND BLANC MI)
NY
07/31/1993 - 03/11/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/04/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/27/1979 - 04/12/1988
FIRST OF MICHIGAN CORPORATION
IA
Issued 08/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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