DP
DP
David Pendleton
46 Years of Experience
Frankenmuth, MI
2 DisclosuresBrokerSells Insurance
David Pendleton is a registered investment advisor at Morgan Stanley, based in Frankenmuth, MI, with 46 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
325 South Main Street, Frankenmuth, MI, 48734
Get directionsHistory
Regulatory History (2)
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Customer Dispute
March 1999Settled
Regulatory
February 1992Final
Other Business ActivitiesSells Insurance
David is a director at Frankenmuth Mutual Insurance Co. He also serves on the boards of St. Lorenz Foundation and Frankenmuth Community Foundation, owns rental properties, and is a trustee. These activities require minimal time commitment.
Employment History
Current Registrations
Morgan Stanley
November 2014 - Present · 11 yrs 10 mos
Morgan Stanley
November 2014 - Present · 11 yrs 10 mos
Morgan StanleyBroker
November 2014 - Present · 11 yrs 10 mos
Previous Registrations
UBS Financial Services INC.
March 2004 - November 2014 · 10 yrs 8 mos
UBS Financial Services INC.Broker
February 2004 - November 2014 · 10 yrs 9 mos
Citigroup Global Markets INC.Broker
July 1993 - March 2004 · 10 yrs 8 mos
Lehman Brothers INC.Broker
March 1988 - July 1993 · 5 yrs 4 mos
First of Michigan CorporationBroker
July 1979 - April 1988 · 8 yrs 9 mos
State Registrations34 states
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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.