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 Ruben is an Investment Advisor Representative at Rockefeller Financial LLC. David has been working in the financial industry since 1984 and holds the Series 7, Series 31, Series 63 and Series 65 licenses. Prior to joining Rockefeller Financial LLC, David was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc. David has a strong background in portfolio management and financial planning. David is dedicated to providing his clients with personalized financial advice and services. David also serves as a committee member for the Suburban Hospital Foundation Inc.
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
GA
04/29/2022 - Present
Rockefeller Financial LLC (ATLANTA GA)
MD
02/15/2008 - 05/03/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BETHESDA MD)
MD
04/24/2001 - 02/27/2008
UBS FINANCIAL SERVICES INC. (BETHESDA MD)
MO
10/01/1999 - 05/10/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
06/20/1984 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IA
Issued 06/16/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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