Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Raphael Lalla is a financial advisor at LPL Financial LLC. Dave has been working in the financial industry since 1984 and has a strong background in investments. Dave holds several licenses and certifications, including Series 7, Series 63, Series 26, and Series 65. Dave works with a wide range of clients, including individuals, families, businesses, and retirement plans. Dave is passionate about helping his clients achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
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2
NJ
01/07/2010 - Present
LPL Financial LLC (EDISON NJ)
NY
05/22/2003 - 12/11/2009
CHASE INVESTMENT SERVICES CORP. (STATEN ISLAND NY)
NY
09/16/2002 - 04/08/2003
QUICK & REILLY, INC. (NEW YORK NY)
IL
09/18/1996 - 09/25/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NA
08/01/1994 - 09/18/1996
CHEMICAL INVESTMENT SERVICES CORP.
NY
06/18/1993 - 08/01/1994
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NY
06/01/1992 - 06/28/1993
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
11/28/1990 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
NY
12/03/1986 - 11/12/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/15/1985 - 12/15/1986
APLAN SECURITIES, INC.
NA
11/02/1984 - 03/18/1985
MUTUAL FUNDS ASSOCIATES INC.
IA
Issued 08/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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