Unclaimed
David Allen Liles is an experienced financial professional with over 30 years in the industry. David Liles is currently registered with Bernstein Institutional Services LLC. Prior to that, David Liles was with SANFORD C. BERNSTEIN & CO., LLC from 2003 to 2024. David Liles has a broad range of experience in the financial services industry, specializing in securities trading and operations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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2
NY
01/12/2024 - Present
Bernstein Institutional Services LLC (NEW YORK NY)
NY
03/21/2003 - 04/08/2024
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
01/09/2001 - 03/11/2003
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
PA
04/03/2000 - 01/09/2001
BNP PARIBAS BROKERAGE SERVICES, INC. (KING OF PRUSSIA PA)
NY
09/23/1997 - 03/31/2000
D. E. SHAW SECURITIES, L.P. (NEW YORK NY)
NA
08/05/1997 - 08/27/1997
D. E. SHAW SECURITIES, L.P.
NY
05/27/1997 - 08/12/1997
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
MA
08/09/1996 - 05/27/1997
STATE STREET BROKERAGE SERVICES, INC. (BOSTON MA)
NA
01/20/1994 - 07/24/1996
LATTICE TRADING, INC.
NA
03/22/1988 - 06/09/1988
THE STUART-JAMES COMPANY, INC.
BC
Issued 04/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/28/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2001
Series 3 - National Commodity Futures Examination
BC
Issued 05/01/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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