Davis T. Pillsbury
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.
Davis Taylor Pillsbury was a registered financial professional .
Davis is a previously registered financial professional and started their career in finance in 1970. Davis had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2005 - November 7, 2012
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
March 5, 1997 - November 4, 1997
SUTRO & CO. INCORPORATED
April 20, 1993 - February 26, 1997
WELLS FARGO SECURITIES, LLC
December 1, 1988 - March 10, 1993
WEDBUSH SECURITIES INC.
February 26, 1970 - August 17, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
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 1
Date: 6/1/1964
Registered Representative ExaminationCurrent Firm
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
CRD#: 40823 / SEC#: , 8-49213
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ODELL, JOHN PATRICK | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 1908737 |
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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