David M. Pequignot
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 Michael Pequignot, who also goes by Dave Pequignot, David Michael Pequignot, David Pequignot, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2009. David had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
May 5, 2022 - March 4, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 6, 2022 - March 4, 2024
FIDELITY BROKERAGE SERVICES LLC
January 12, 2021 - March 7, 2022
CITIGROUP GLOBAL MARKETS INC.
December 1, 2018 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2018 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2018 - September 4, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 6, 2017 - April 3, 2018
TD AMERITRADE, INC.
August 4, 2017 - January 5, 2018
SCOTTRADE, INC.
October 8, 2009 - November 18, 2009
MSI FINANCIAL SERVICES, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
