Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave A. Horan is a financial advisor with over 35 years of experience in the industry. Dave currently works at UBS Financial Services Inc. and is registered with both FINRA and the state of Minnesota as a Registered Representative and Investment Advisor Representative. Dave is also licensed to offer investment advice in Texas. Prior to joining UBS, Dave worked at Piper Jaffray & Co., First Union Securities, Inc., and Dean Witter Reynolds Inc. Dave holds multiple securities licenses and is also a Certified Financial Planner™. Dave's areas of expertise include retirement planning, investment management, and wealth management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MN
09/12/2006 - Present
UBS Financial Services Inc. (BLOOMINGTON MN)
MN
01/12/2001 - 08/12/2006
PIPER JAFFRAY & CO. (EDINA MN)
MO
04/12/1993 - 01/16/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
03/20/1986 - 04/13/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 03/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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