DP
David M. Pequignot
VANGUARD MARKETING
SCOTTSDALE, AZ 85260
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CRD#: 5712403
DP
Professional summary
David Michael Pequignot, who also goes by David Pequignot, Dave Pequignot, David Micheal Pequignot, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
David is registered as a RR (Registered Representative) and started their career in finance in 2009. David has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Pequignot | Dave Pequignot | David Micheal Pequignot
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) - BD
Click below to view David Michael Pequignot'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®
NoneExperience
Current
February 11, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260BD
CRD#: 7452
SCOTTSDALE, AZ
Past
May 5, 2022 - March 4, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CHESTERFIELD, MO
Past
April 6, 2022 - March 4, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 12, 2021 - March 7, 2022
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
O'Fallon, MO
Past
December 1, 2018 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
November 5, 2018 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 20, 2018 - September 4, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHESTERFIELD, MO
Past
November 6, 2017 - April 3, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
ST. LOUIS, MO
Past
August 4, 2017 - January 5, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
Past
October 8, 2009 - November 18, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHESTERFIELD, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/12/2026)
RR
Alaska(2/12/2026)
RR
Arizona(2/13/2026)
RR
Arkansas(2/12/2026)
RR
California(2/12/2026)
RR
Colorado(2/12/2026)
RR
Connecticut(2/12/2026)
RR
Delaware(2/12/2026)
RR
District of Columbia(2/12/2026)
RR
Florida(2/12/2026)
RR
Georgia(2/12/2026)
RR
Hawaii(2/12/2026)
RR
Idaho(2/12/2026)
RR
Illinois(2/12/2026)
RR
Indiana(2/12/2026)
RR
Iowa(2/12/2026)
RR
Kansas(2/12/2026)
RR
Kentucky(2/12/2026)
RR
Louisiana(2/12/2026)
RR
Maine(2/12/2026)
RR
Maryland(2/12/2026)
RR
Massachusetts(2/12/2026)
RR
Michigan(2/12/2026)
RR
Minnesota(2/12/2026)
RR
Mississippi(2/12/2026)
RR
Missouri(2/12/2026)
RR
Montana(2/12/2026)
RR
Nebraska(2/12/2026)
RR
Nevada(2/12/2026)
RR
New Hampshire(2/12/2026)
RR
New Jersey(2/12/2026)
RR
New Mexico(2/12/2026)
RR
New York(2/12/2026)
RR
North Carolina(2/12/2026)
RR
North Dakota(2/12/2026)
RR
Ohio(2/12/2026)
RR
Oklahoma(2/12/2026)
RR
Oregon(2/12/2026)
RR
Pennsylvania(2/12/2026)
RR
Puerto Rico(2/12/2026)
RR
Rhode Island(2/12/2026)
RR
South Carolina(2/12/2026)
RR
South Dakota(2/12/2026)
RR
Tennessee(2/12/2026)
RR
Texas(2/12/2026)
RR
Utah(2/12/2026)
RR
Vermont(2/12/2026)
RR
Virgin Islands(2/12/2026)
RR
Virginia(2/12/2026)
RR
Washington(2/12/2026)
RR
West Virginia(2/12/2026)
RR
Wisconsin(2/12/2026)
RR
Wyoming(2/12/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
