Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Connor is a financial professional with over 20 years of experience in the industry. Dave is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where has been employed since November 2013. Prior to joining Merrill Lynch, Dave worked at BARCLAYS CAPITAL INC. and Lehman Brothers Inc. Dave holds a variety of licenses and certifications including Series 3, 4, 7, 21, 24, 25, 55 and 63. Dave is also a Registered Options Principal and General Securities Principal. Dave is a specialist in Portfolio Management for Businesses and Individuals, and offers financial planning, research reports and services, allocation modeling, IPS, performance measurement reports and selection of other advisors.
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
NY
11/20/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/22/2008 - 06/27/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
12/17/2007 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/09/2000 - 01/08/2008
VAN DER MOOLEN SPECIALISTS USA, LLC (NEW YORK NY)
BC
Issued 12/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2009
Series 4 - Registered Options Principal Examination
BC
Issued 06/24/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2010
Series 3 - National Commodity Futures Examination
BC
Issued 12/05/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/21/2003
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 07/09/2001
Series 25 - NYSE Trading Assistant 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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