DP
David C. Peck
TRAYNOR CAPITAL MANAGEMENT
Malvern, PA 19355
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CRD#: 6478024
DP
Professional summary
David Curtis Peck is a registered financial advisor currently at TRAYNOR CAPITAL MANAGEMENT located in Malvern, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. David has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
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.
Employed as Director of Athletic Development for YSC Sports. Not investment related; 120 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view David Curtis Peck'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
January 16, 2017 - Present
TRAYNOR CAPITAL MANAGEMENT
Office #1: 418 E King St, Malvern, PA 19355RIA
CRD#: 138881
Malvern, PA
Past
November 5, 2015 - December 31, 2015
HARVEST USA
BD
CRD#: 165614
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
TRAYNOR CAPITAL MANAGEMENT
TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT
CRD#: 138881 / SEC#: 801-78760
RIA
Registered Investment Advisory firm - (11/5/2013 Approved)Georgia
Registered Investment Advisory firm - (11/7/2013 Terminated)New Jersey
Registered Investment Advisory firm - (11/21/2013 Terminated)North Carolina
Registered Investment Advisory firm - (11/7/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/7/2013 Terminated)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
Pennsylvania(1/16/2017)
IAR
Texas(11/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TC
TRAYNOR CAPITAL MANAGEMENT
TRAYNON CAPITAL MANAGEMENT | TRAYNOR, KEITH THOMAS | TRAYNOR CAPITAL MANAGEMENT, INC. | TRAYNOR CAPITAL MANAGEMENT
CRD#: 138881 / SEC#: 801-78760
RIA
Registered Investment Advisory firm - (11/5/2013 Approved)Georgia
Registered Investment Advisory firm - (11/7/2013 Terminated)New Jersey
Registered Investment Advisory firm - (11/21/2013 Terminated)North Carolina
Registered Investment Advisory firm - (11/7/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/7/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
418 E King St, Malvern, PA 19355
Mailing Address
Phone number
(610) 993-9050
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,425 |
| AUM (Assets Under Management) | $ 1,845,679,326 |
Red Flags
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