DB

David E. Bearden

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CRD#: 4041989
DB

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


Are you a "fiduciary"?
No

Aliases


David Eugene Johnson

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

September 3, 2004 - May 2, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MOUNTAIN VIEW, CA
Past

September 3, 2004 - May 2, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
MOUNTAIN VIEW, CA
Past

January 5, 2000 - September 8, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PALO ALTO, CA
Past

October 26, 1999 - September 8, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 11/19/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/18/2003
Futures Managed Funds Examination
General Industry/Product Exam

Current Firm


BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
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Contact information


Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures


Regulatory Event53
Civil Event1
Arbitration68

Red Flags


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Company Information


BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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