Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ciccone is a financial advisor with over 28 years of experience in the financial services industry. David has been registered with Wells Fargo Clearing Services, LLC since May 2020. Prior to joining Wells Fargo, David worked at UBS Financial Services Inc. for 10 years and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED for 5 years. David holds the Series 31, Series 7, and Series 63 securities licenses, as well as the Series 65 investment advisory license.
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.
Investment consulting services to institutional clients
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.
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2
VA
06/09/2020 - Present
Wells Fargo Clearing Services, LLC (MCLEAN VA)
VA
04/16/2010 - 06/19/2020
UBS FINANCIAL SERVICES INC. (VIENNA VA)
VA
05/13/2005 - 04/21/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RESTON VA)
NY
08/14/2000 - 05/17/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/01/1993 - 08/23/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
09/13/1993 - 11/10/1993
MONTANO SECURITIES CORPORATION (ORANGE CA)
IA
Issued 02/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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