DB
DB
David Brennan
40 Years of Experience
New York, NY
1 DisclosureBroker
David Brennan is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
320 Park Avenue, Fl 9, New York, NY, 10022
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2013Settled
Other Business Activities
David is the author of a fictional historical novel since 2018, dedicating a few hours per week to this activity. This activity is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
December 2014 - Present · 11 yrs 5 mos
Raymond James & Associates, INC.Broker
December 2014 - Present · 11 yrs 5 mos
Previous Registrations
J.P. Morgan Securities LLC
October 2003 - December 2014 · 11 yrs 2 mos
J.P. Morgan Securities LLCBroker
October 2003 - December 2014 · 11 yrs 2 mos
Oppenheimer & CO. INC.Broker
January 2003 - October 2003 · 9 mos
Cibc World Markets CORP.Broker
April 1989 - January 2003 · 13 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1985 - April 1989 · 3 yrs 8 mos
State Registrations49 states
ALARAZCACOCTDCDEFLGAHIIDILINKSKYLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.