David C. Palshaw

MONTEREY BAY ASSET MANAGEMENT LLC | President

Monterey, CA 93940

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CRD#: 4395191

Professional summary

David Craig Palshaw, CFP® is a registered financial advisor currently at MONTEREY BAY ASSET MANAGEMENT LLC located in Monterey, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 2 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Inheritance

Comprehensive Financial Planni...

Divorce Planning

Retirement Income Management

Do you have an area of expertise or specialization?

Comprehensive Financial Planni...

Attending College

401(k)/403(b)/IRAs

Charitable & Planned Giving

Asset Allocation

Investment Management

Estate Planning

Getting Divorced

Mutual Funds

Life Planning

Retirement

Stocks & Bonds

Sudden Wealth

Nontraditional Households

Women's Finances

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 Craig Palshaw'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

February 21, 2007 - Present

MONTEREY BAY ASSET MANAGEMENT LLC

Office #1: 380 Foam Street Suite 220, Monterey, CA 93940

RIA

CRD#: 142460

Monterey, CA

Past

October 28, 2002 - October 17, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

SACRAMENTO, CA

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

California
(2/21/2007)

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: 12/22/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/22/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 12/23/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/26/2002

General Securities Representative Examination

Current Firm

MONTEREY BAY ASSET MANAGEMENT LLC

CRD#: 142460 / SEC#:

California

Registered Investment Advisory firm - (2/21/2007 Approved)

Idaho

Registered Investment Advisory firm - (12/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

380 Foam Street Suite 220, Monterey, CA 93940

Mailing Address

P.o. Box 221012, Carmel, CA 93922

Phone number

(831) 277-0364

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 23,349,631

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.

Contact information

(xxx) xxx-xxxx

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David C. Palshaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Craig Palshaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONTEREY BAY ASSET MANAGEMENT LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2006

Series 66

Date: 11/22/2002

Series 31

Date: 12/23/2002

Series 7

Date: 10/26/2002

Current Firm

MONTEREY BAY ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MONTEREY BAY ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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