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David Henry Peck

Investment Adviser Representative at FOCUS FINANCIAL

Minneapolis, MNCRD #2394362Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Minnesota
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/11/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 5/16/1994
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/9/2009
Series 62
Corporate Securities Limited Representative Examination
Passed 4/19/1996
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/15/1994
Series 24
General Securities Principal Examination
Passed 5/22/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Focus Financial Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FOCUS FINANCIALCurrent
7/15/2024Minneapolis, MN
CHARLES SCHWAB & CO., INC.
6/11/20186/17/2024Maple Grove, MN
LPL FINANCIAL LLC
4/21/20115/9/2018San Diego, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
12/17/20093/29/2010Green Bay, WI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Henry Peck has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.