David Petray
David Petray is a registered investment advisor at Syndicated Capital, INC., based in Costa Mesa, CA, with 37 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 Investment Management. Their firm serves 465 clients with $140M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Standard annual fee is 2%, which is negotiable with advisors. Management fees are deducted quarterly in advance based on the average of the previous quarter's three-month-end balances. Clients may also incur ticket charges, custodial fees, and mutual fund expenses.
Fee Estimator
Location
Costa Mesa, CA
Get directionsHistory
Regulatory History (11)
Customer Dispute
April 2026Judgment / Lien
January 2016Judgment / Lien
October 2015Judgment / Lien
September 2014Judgment / Lien
August 2014Judgment / Lien
November 2012Judgment / Lien
January 2010Judgment / Lien
July 2008Judgment / Lien
June 2006Customer Dispute
October 1998Employment Separation After Allegations
October 1990Other Business Activities
David is a luxury travel advisor with Cadence Travel since 2013. He also works as a mortgage advisor with Endeavor Mortgage, dedicating a few hours per week.
Employment History
Current Registrations
Syndicated Capital, INC.
Syndicated Capital, INC.Broker
Previous Registrations
A. G. Edwards & Sons, INC.Broker
Everen Securities, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations7 states
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
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