David A. Peek
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 Adolphus Peek was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 9, Series 10 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
May 10, 2012 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
May 10, 2012 - July 9, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
March 1, 2010 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
January 25, 2010 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
March 6, 2007 - December 3, 2009
NATIONAL FINANCIAL SERVICES LLC
May 27, 1987 - March 6, 2007
FIDELITY BROKERAGE SERVICES LLC
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 7TO
Date: 8/30/2022
General Securities Representative ExaminationSeries 8
Date: 8/21/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY DISTRIBUTORS CORPORATION
CRD#: 6848 / SEC#: , 8-8775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| BACHMAN, ROBERT FROLICH | EXECUTIVE VICE PRESIDENT | 2540486 |
| DEPIERO, MATTHEW | DIRECTOR | 6947009 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| LYONS, MICHAEL JOSEPH | CFO | 4610621 |
| MARLINSKI, JUDY ANNE | PRESIDENT/CEO/DIRECTOR | 6751775 |
| MULCAHY, TIMOTHY MICHAEL | DIRECTOR | 3083260 |
| ROTHMAN, PHILIP | CHIEF COMPLIANCE OFFICER | 4883519 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
