David R. Peloquin

MAIN STREET ADVISORS

WESTMINSTER, MD 21157

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CRD#: 1423632

Professional summary

David Richard Peloquin, CFP® is a registered financial advisor currently at MAIN STREET ADVISORS, LLC located in Westminster, Maryland.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. David has worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view David Richard Peloquin's CRS (Customer Relationship Summary).

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

October 19, 1999 - Present

MAIN STREET ADVISORS, LLC

Office #1: 205 East Main Street, Westminster, MD 21157

RIA

CRD#: 121797

WESTMINSTER, MD

Past

August 11, 1997 - April 6, 1999

DULANEY SECURITIES, INC.

CRD#: 42736

TIMONIUM, MD

Past

January 10, 1992 - July 11, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 11, 1991 - January 16, 1992

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

December 4, 1985 - April 16, 1991

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

STEVENSVILLE, MD

Past

October 25, 1985 - November 25, 1985

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(10/19/1999)

IAR

Pennsylvania
(9/6/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1991

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/14/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MAIN STREET ADVISORS, LLC

CRD#: 121797 / SEC#: 801-68101

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Maryland

Registered Investment Advisory firm - (6/22/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/26/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

205 East Main Street, Westminster, MD 21157

Mailing Address

Phone number

(410) 840-9200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	303
AUM (Assets Under Management)	$ 72,638,100

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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David R. Peloquin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Richard Peloquin's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAIN STREET ADVISORS, LLC

DULANEY SECURITIES, INC.

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/1985

Series 7

Date: 7/16/1991

Series 22

Date: 11/14/1985

Series 6

Date: 10/24/1985

Current Firm

MAIN STREET ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAIN STREET ADVISORS, LLC

TRUST BUT VERIFY

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