DB
DB
David Brendza
38 Years of Experience
Chicago, IL
5 DisclosuresBroker
David Brendza is a registered investment advisor at Raymond James & Associates, INC., based in Chicago, IL, with 38 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
Loading...
Location
120 S Riverside, Suite 700, Chicago, IL, 60606
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2023Final
Regulatory
February 2023Final
Regulatory
January 2023Final
Regulatory
December 2022Final
Employment Separation After Allegations
April 2018Other Business Activities
David is a paid coach for the Indiana High School Athletic Association, officiating high school football and basketball since 2018. This activity requires a few hours per week.
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
April 2018 - Present · 8 yrs 3 mos
Raymond James & Associates, INC.
April 2018 - Present · 8 yrs 3 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - May 2018 · 8 yrs 11 mos
Morgan Stanley
June 2009 - May 2018 · 8 yrs 11 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 1998 - April 2007 · 9 yrs 2 mos
Morgan Stanley Dw INC.Broker
June 1994 - April 2007 · 12 yrs 10 mos
NationssecuritiesBroker
July 1993 - July 1994 · 1 yr
Dean Witter Reynolds INC.Broker
October 1987 - July 1993 · 5 yrs 9 mos
State Registrations24 states
AZCOFLGAIDILINKSKYMDMIMNMOMSNCNENJOHPASCTNTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.