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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Paller is a financial advisor with Raymond James & Associates, Inc., working out of the Woodland Hills, CA branch office. David has 31 years of experience in the financial industry and is registered to offer investment advice in multiple states. Prior to joining Raymond James & Associates, Inc., David was with UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds several industry certifications, including the Series 6, 7, 22, 24, 31, 63, and 66.
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.
Please see note in schedule d - miscellaneous
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
01/13/2023 - Present
Raymond James & Associates, Inc. (Woodland Hills CA)
CA
12/05/2008 - 06/12/2020
UBS FINANCIAL SERVICES INC. (ENCINO CA)
CA
09/24/2004 - 12/08/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ENCINO CA)
AZ
04/16/1997 - 06/19/2000
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
CA
02/07/1996 - 04/16/1997
LAGUNA SECURITIES, INC. (NEWPORT BEACH CA)
DE
06/23/1989 - 02/27/1996
PML SECURITIES COMPANY (NEWARK DE)
AZ
11/19/1989 - 02/08/1996
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
02/22/1988 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NJ
09/11/1987 - 02/23/1988
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 10/05/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/23/2004
Series 7 - General Securities Representative Examination
BC
Issued 04/26/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 09/09/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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