David E. Bearden
Professional summary
David Eugene Bearden was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Eugene Bearden, who also goes by David Eugene Johnson, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1999. David had worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2004 - May 2, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 3, 2004 - May 2, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 5, 2000 - September 8, 2004
MORGAN STANLEY DW INC.
October 26, 1999 - September 8, 2004
MORGAN STANLEY DW 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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