Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alford is a financial advisor with Raymond James & Associates, Inc. based in Frisco, TX. David has been working in the financial services industry since 1989 and has a diverse background, having previously worked with firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., and Citigroup Global Markets Inc. David specializes in a variety of areas, including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. David is registered in multiple states across the U.S. and holds several industry licenses and certifications.
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
TX
05/18/2020 - Present
Raymond James & Associates, Inc. (Frisco TX)
TX
02/16/2012 - 05/18/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FRISCO TX)
TX
06/25/2008 - 03/16/2012
UBS FINANCIAL SERVICES INC. (ADDISON TX)
TX
07/31/1993 - 07/07/2008
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
NY
08/14/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/22/1987 - 10/25/1988
CARTY & COMPANY, INC.
IA
Issued 08/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/18/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1990
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
Series 7 - General Securities 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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