David H. Pritchard

ZANBATO SECURITIES LLC

Mountain View, CA 94043

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CRD#: 2310416

Professional summary

David Hamilton Pritchard is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) - BD

Click below to view David Hamilton Pritchard's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 13, 2017 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

CRD#: 279028

Mountain View, CA

Past

August 13, 2012 - March 23, 2015

D/B/A CLARKSONS PLATOU SECURITIES

CRD#: 113325

NEW YORK, NY

Past

October 21, 2009 - June 16, 2010

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

January 14, 2008 - September 15, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

July 11, 2007 - January 14, 2008

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 6, 1998 - April 18, 2007

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

August 29, 1996 - December 17, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 3, 1993 - July 10, 1996

GLOBAL MERCHANT GROUP, INC.

CRD#: 28316

CAMBRIDGE, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/14/2017)

Connecticut
(3/15/2017)

Massachusetts
(3/15/2017)

New York
(3/16/2017)

Ohio
(3/14/2017)

Texas
(3/14/2017)

Exams

State Security Law Exam

Series 63

Date: 3/21/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Mailing Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Phone number

(650) 557-2333

Established

Delaware since 06/17/2015

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ZANBATO HOLDING COMPANY LLC	MEMBER
FITZGERALD, HEATHER	CFO	4427665
RAFFERTY, MARIANNE	CCO	1982973
SAND, KNUT NICOLAI	CEO	6115928
WRIGHT, GREGORY LANCE	PRESIDENT	1564124

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 H. Pritchard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Hamilton Pritchard's CRS (Customer Relationship Summary).

Certified licenses

Experience

D/B/A CLARKSONS PLATOU SECURITIES

INTE SECURITIES LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

JEFFERIES LLC

J.P. MORGAN SECURITIES LLC

GLOBAL MERCHANT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/2013

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1993

Series 24

Date: 10/5/2007

FINRA

Current Firm

ZANBATO SECURITIES LLC

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ZANBATO SECURITIES LLC

TRUST BUT VERIFY

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