Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alan Mader is a financial advisor with UBS Financial Services Inc. located in Newport Beach, California. David Mader has over 10 years of experience in the financial services industry. David Mader is registered as a broker-dealer and an investment advisor in California. David Mader has a Series 66, Series 7, and SIE license. Previously David Mader was employed by Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wells Fargo Investments, LLC.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
03/08/2017 - Present
UBS Financial Services Inc. (Newport Beach CA)
CA
04/04/2012 - 01/27/2017
WELLS FARGO CLEARING SERVICES, LLC (ROLLING HILLS ESTATES CA)
CA
09/21/2010 - 03/07/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COSTA MESA CA)
CA
09/08/2005 - 10/06/2010
WELLS FARGO INVESTMENTS, LLC (ANAHEIM CA)
BOTH
Issued 10/20/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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