David A. Palena
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 Alan Palena, who also goes by David Allan Palena, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - October 3, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 24, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 2000 - October 3, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 19, 1983 - April 24, 2000
SUNSET FINANCIAL SERVICES, INC.
June 30, 1983 - August 15, 1983
A. G. EDWARDS & SONS, INC.
April 13, 1981 - July 1, 1983
HAMMERBECK AND COMPANY, INC.
August 24, 1976 - May 1, 1981
SYMETRA SECURITIES, INC.
January 27, 1971 - September 23, 1976
SUNSET FINANCIAL SERVICES, INC.
May 7, 1970 - February 25, 1971
GREAT REPUBLIC SECURITIES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/28/1970
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
