David R. Pallott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Richard Pallott, who also goes by David R Pallott, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2018 - May 5, 2020
BRYAN ADVISORY SERVICES, LLC
November 15, 2018 - November 1, 2019
BRYAN FUNDING, INC.
February 6, 2017 - February 13, 2017
EDWARD JONES
February 3, 2017 - February 13, 2017
EDWARD JONES
June 18, 2010 - February 10, 2017
BRYAN ADVISORY SERVICES, LLC
June 30, 1997 - February 2, 2017
BRYAN FUNDING, INC.
March 10, 1993 - December 31, 1995
VSR FINANCIAL SERVICES, INC.
February 28, 1992 - October 30, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 28, 1992 - October 30, 1992
PRUCO SECURITIES, LLC.
February 14, 1991 - May 30, 1991
WALNUT STREET SECURITIES, INC.
November 17, 1989 - December 21, 1990
LEHMAN BROTHERS INC.
August 8, 1988 - October 19, 1989
LLOYD G. WILSON SECURITIES, INC.
February 6, 1988 - August 9, 1988
FIRST COMPASS SECURITIES, INC.
January 14, 1988 - March 16, 1988
FOOTHILL SECURITIES, INC.
July 19, 1985 - December 8, 1987
MORGAN STANLEY DW INC.
March 11, 1985 - July 19, 1985
QUOX, INCORPORATED
March 18, 1983 - February 22, 1985
MORGAN STANLEY DW INC.
September 24, 1982 - May 3, 1983
QUOX, INCORPORATED
Primary Firm SEC Registration
BRYAN ADVISORY SERVICES, LLC
CRD#: 153659 / SEC#: 801-116672
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 4/20/1984
Interest Rate Options ExaminationSeries 8
Date: 8/7/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRYAN ADVISORY SERVICES, LLC
CRD#: 153659 / SEC#: 801-116672
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 2,036,212 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
