David L. Peebles
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 Lee Peebles was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 1 firm and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1997 - January 5, 1999
WS GRIFFITH SECURITIES, INC.
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
Current Firm
WS GRIFFITH SECURITIES, INC.
CRD#: 10410 / SEC#: , 8-27324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WS GRIFFITH ADVISORS, INC. | PARENT COMPANY | |
| BEAGIN, JOSEPH GARY | SENIOR VICE PRESIDENT | 15544 |
| BEERS, JOHN HENRY | SECRETARY, VICE PRESIDENT | |
| DAHL, RICHARD STEWART | VICE PRESIDENT, OPERATIONS | 1080878 |
| ENGBERG, NANCY JEAN | VP & CHIEF COMPLIANCE OFFICER | 2952960 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| KELLEHER, JOSEPH EDWARD | PRESIDENT, DIRECTOR | 4017209 |
| LAUTENSACK, ROBERT GEORGE JR | DIRECTOR | |
| MILLER, LAURA EILEEN | CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT | 1558203 |
| OLSON, VICTORIA LYNN | VP, COMPLIANCE OFFICER | 2360895 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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