Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid A. Fain is a financial advisor associated with M Holdings Securities, Inc. and has been in the industry since 2002. David is registered as an Investment Advisor Representative in Colorado, Idaho, Illinois and Washington. David also holds Series 6, 7 and 63 securities licenses as well as the SIE and Series 65 licenses. David has provided financial services to individuals, corporations, pension and profit sharing plans, high-net-worth individuals, and other investment advisors. David offers advisory services including financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals.
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.
A percentage of the total value of assets under management is charged.
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2
WA
08/28/2014 - Present
M Holdings Securities, Inc. (SEATTLE WA)
WA
12/03/2002 - 08/07/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SEATTLE WA)
IA
Issued 11/13/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/2014
Series 7 - General Securities Representative Examination
BC
Issued 12/02/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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