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Marc Davis: $1.3 Million Complaint Against Davis & Seiley Advisor
La Mesa, California financial advisor Marc Davis (CRD# 2087050) is involved in an investor complaint alleging damages of $1.3 million. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is an investment advisor with Davis & Seiley Wealth Management, having previously been registered with Purshe Kaplan Sterling Investments and LPL Financial.
Mr. Davis’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleges that as a representative of LPL Financial, he recommended an unsuitable tenant-in-common investment in 2007. The pending complaint alleges damages of $1,306,374.
According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Marc Davis holds 26 years of securities industry experience. Based in La Mesa, California, he has been an investment advisor with Davis & Seiley Wealth Management since 2011. His past registrations include Purshe Kaplan Sterling Investments (La Mesa, California; 2011-2016), LPL Financial (La Mesa, California; 2001-2011), Long Grove Trading Company (Boston, Massachusetts; 1996-1997), MetLife Securities (Springfield, Massachusetts; 1990-1994), and Metropolitan Life Insurance Company (New York, New York; 1990-1994). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is not currently registered as a broker. He is registered as an investment advisor in California, Idaho, Louisiana, Texas, and Utah. (Information current as of December 15, 2022.)
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