Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave B Rao is a financial advisor at Nations Financial Group, Inc. Dave has over 20 years of experience in the financial services industry and is registered to provide investment advisory services in New York and Texas. Dave has earned several industry credentials, including the Series 7, 24, 31, 63, 65, 86, and 87 exams. Dave's areas of expertise include financial planning, portfolio management, and pension consulting. Dave has previously held positions with firms such as Wells Fargo Advisors Financial Network, LLC, Summit Brokerage Services, Inc., Cetera Advisor Networks LLC, and Morgan Stanley.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
02/28/2023 - Present
Nations Financial Group, Inc. (Melville NY)
NY
09/20/2019 - 04/15/2021
CETERA ADVISOR NETWORKS LLC (Melville NY)
NY
05/25/2016 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (Melville NY)
NY
11/14/2014 - 06/23/2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (MELVILLE NY)
NY
05/14/2010 - 11/19/2014
MORGAN STANLEY (MELVILLE NY)
NY
05/20/2009 - 04/29/2010
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
06/11/2008 - 04/08/2009
PIPER JAFFRAY & CO. (NEW YORK NY)
NY
07/18/2006 - 03/28/2008
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
CA
05/16/2001 - 07/09/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CT
04/30/2001 - 05/29/2001
ABN AMRO INCORPORATED (STAMFORD CT)
NY
05/16/2000 - 04/30/2001
ING BARINGS LLC (NEW YORK NY)
NJ
12/17/1999 - 05/04/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
IA
Issued 06/06/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 11/04/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/16/2006
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 07/17/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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