David Lee Peebles
Professional Summary
David Lee Peebles was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1997 - 1999. David had worked at 1 firm and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
HL SECURITIES, INC. | WS GRIFFITH SECURITIES, INC. | W. S. GRIFFITH & CO., INC. | W. S. GRIFFITH & CO., INC | HOME LIFE EQUITY SALES CORP.
Contact Information
Established
New York since 08/07/1970Firm Type
CorporationFiscal Year End
DecemberDocuments
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
3Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1997About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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