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David Brendza

Raymond James & Associates, INC.
38 Years of Experience
Chicago, IL
5 DisclosuresBroker
View SEC Summary
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David Brendza is a registered investment advisor at Raymond James & Associates, INC., based in Chicago, IL, with 38 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

120 S Riverside, Suite 700, Chicago, IL, 60606

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History

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 2023
Final
Regulatory
February 2023
Final
Regulatory
January 2023
Final
Regulatory
December 2022
Final
Employment Separation After Allegations
April 2018
View Full SEC ReportHow to Read Disclosures
Other 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 6 mos
Raymond James & Associates, INC.
April 2018 - Present · 8 yrs 6 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 Registrations25 states
AZCOFLGAIAIDILINKSKYMDMIMNMOMSNCNENJOHPASCTNTXVAWI
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.
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