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 Melby is a financial advisor registered with UBS Financial Services Inc. located in Oakbrook Terrace, IL. David has been working in the financial services industry since 1993, and has a history of experience at firms such as Wells Fargo Advisors, LLC and Oppenheimer & Co. Inc. David's services include financial planning, pension consulting, educational seminars, and portfolio management. David holds Series 7, 9, 10, 31 and 66 licenses.
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
IL
10/28/2019 - Present
UBS Financial Services Inc. (OAKBROOK TERRACE IL)
IL
02/27/2009 - 03/07/2016
WELLS FARGO ADVISORS, LLC (NAPERVILLE IL)
IL
01/03/2003 - 03/02/2009
OPPENHEIMER & CO. INC. (CHICAGO IL)
NY
09/03/1996 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
11/17/1993 - 09/04/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 07/17/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/01/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/1993
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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