David Petray is a registered investment advisor at Syndicated Capital, INC., based in Costa Mesa, CA, with 36 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 393 clients with $120M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14 advisors
Number of Clients
393 clients
Average Client Portfolio
$313K average
Assets Under Management
$123.0M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable with the advisors.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Costa Mesa, CA
Get directionsHistory
Regulatory History (10)
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Judgment / 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 1998Settled
Employment 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.
January 2021 - Present · 5 yrs 3 mos
Syndicated Capital, INC.Broker
July 2001 - Present · 24 yrs 9 mos
Previous Registrations
A. G. Edwards & Sons, INC.Broker
December 1998 - July 2001 · 2 yrs 7 mos
Everen Securities, INC.Broker
September 1992 - November 1998 · 6 yrs 2 mos
Prudential Securities IncorporatedBroker
August 1989 - October 1992 · 3 yrs 2 mos
State Registrations7 states
ALAZCAMNNCNYTX
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.