David R. Perkins

PHAROS CAPITAL MANAGEMENT

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CRD#: 3211027

Professional summary

David Ray Perkins is a registered financial advisor currently at PHAROS CAPITAL MANAGEMENT, LLC .

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 65, Series 63, Series 7 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 Ray Perkins'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®

None

Experience

Current

April 27, 2010 - Present

PHAROS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153686

Past

May 9, 2007 - April 8, 2010

NEW ENGLAND SECURITIES

RIA

CRD#: 615

RALEIGH, NC

Past

April 9, 2007 - April 8, 2010

NEW ENGLAND SECURITIES

CRD#: 615

RALEIGH, NC

Past

January 16, 2004 - March 27, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CARY, NC

Past

February 21, 2003 - January 22, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CHULA VISTA, CA

Past

March 4, 2002 - January 22, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 31, 2000 - March 4, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

April 12, 1999 - May 4, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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

North Carolina
(4/27/2010)

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

IAR

Series 65

Date: 5/1/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/22/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PHAROS CAPITAL MANAGEMENT, LLC

CRD#: 153686 / SEC#:

North Carolina

Registered Investment Advisory firm - (4/27/2010 Approved)

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Contact information

Main Address

Fuquay-varina, NC

Mailing Address

Phone number

(919) 346-0149

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 3,164,855

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. Perkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Ray Perkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

ALLSTATE FINANCIAL SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

SUNAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2007

Series 63

Date: 4/23/1999

Series 7

Date: 5/22/2000

Series 6

Date: 4/9/1999

Current Firm

PHAROS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PHAROS CAPITAL MANAGEMENT, LLC

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