David B. Peschel

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CRD#: 1356216

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 Brian Peschel was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1985. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 11, 2017 - April 6, 2018

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025

Bloomfield, CT

Past

October 29, 2012 - December 5, 2014

NEW ENGLAND SECURITIES

CRD#: 615

BLOOMFIELD, CT

Past

March 10, 2011 - August 11, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

BLOOMFIELD, CT

Past

September 29, 2009 - December 6, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

GLASTONBURY, CT

Past

April 20, 2000 - June 24, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 4, 1998 - March 14, 2000

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

March 20, 1996 - November 5, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 17, 1993 - February 1, 1996

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

December 21, 1992 - July 30, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

December 21, 1992 - July 30, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

April 9, 1985 - August 11, 1987

SIGNATOR INVESTORS, INC.

CRD#: 468

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/21/1995

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

4000 N Mingo Rd, Tulsa, OK 74116

Mailing Address

4000 N Mingo Rd, Tulsa, OK 74116

Phone number

(918) 281-1820

Established

Delaware since 10/20/2016

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Medium

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE-ONE HOLDINGS, LLC	SOLE MEMBER
ARBO, WILLIAM CHARLES	CEO/CHIEF FINANCIAL OFFICER	1773016
TOOMEY, JAY ALAN	CHIEF COMPLIANCE OFFICER	2514959

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.

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Advisor Monitoring

Firm Stability Insights

David B. Peschel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEW ENGLAND SECURITIES

METLIFE INVESTORS DISTRIBUTION COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

ESSEX NATIONAL SECURITIES, LLC

MML INVESTORS SERVICES, LLC

COMPULIFE INVESTOR SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1998

Series 63

Date: 8/31/1993

SIE

Date: 4/6/2018

Series 7

Date: 10/4/1995

Series 6

Date: 12/16/1992

Series 26

Date: 4/21/1995

Current Firm

ALLIANCE-ONE INVESTMENTS, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

ALLIANCE-ONE INVESTMENTS, LLC

TRUST BUT VERIFY

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