Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Fohr II is a financial advisor with over 20 years of experience in the financial services industry. David Fohr II is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously held positions at UBS Financial Services Inc., Wells Fargo Clearing Services, LLC, LPL Financial LLC, UVEST Financial Services Group, Inc., MetLife Securities Inc., Morgan Stanley Smith Barney and Citigroup Global Markets Inc. David Fohr II holds a Series 7, Series 10, Series 9, Series 4, Series 63 and Series 65 licenses. David Fohr II's expertise includes portfolio management for individuals and businesses, as well as pension consulting and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
11/02/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
04/26/2017 - 11/02/2021
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
MO
11/19/2012 - 04/05/2017
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
NC
08/05/2011 - 10/17/2012
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
08/12/2011 - 04/26/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
04/09/2010 - 08/09/2011
METLIFE SECURITIES INC. (CHARLOTTE NC)
NC
06/01/2009 - 10/01/2009
MORGAN STANLEY SMITH BARNEY (CHARLOTTE NC)
NC
10/13/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
IA
Issued 03/09/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2022
Series 4 - Registered Options Principal Examination
BC
Issued 12/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/20/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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