Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Bostick is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Dave has been in the securities industry since 2002. Dave holds the following licenses: Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 26, Series 52TO, Series 53, Series 63, and Series 66. Dave has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2011. Dave has also been registered with WELLS FARGO ADVISORS, LLC and E*TRADE SECURITIES LLC. Dave is licensed to provide investment advice in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
03/06/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROSEVILLE CA)
NC
09/23/2008 - 05/16/2011
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
04/02/2002 - 07/10/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
BOTH
Issued 11/05/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/10/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/15/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 08/24/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/25/2005
Series 4 - Registered Options Principal Examination
BC
Issued 03/01/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2014
Series 3 - National Commodity Futures Examination
BC
Issued 04/01/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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