Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Graves is a financial advisor with over 17 years of experience in the financial services industry. David has a broad range of experience, having worked with firms such as Grant Williams L.P., Invesco Distributors, Inc. and Hartford Life Distributors, LLC. David is currently registered with Northern Lights Distributors, LLC and is licensed to conduct business in California and Nebraska. David's expertise covers a wide range of financial products and services, including securities, investment company products and variable contracts. David holds the Series 6, 7, 63 and 65 licenses and the SIE exam.
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.
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.
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2
NE
03/13/2024 - Present
Northern Lights Distributors, LLC (ELKHORN NE)
PA
06/18/2019 - 02/27/2024
GRANT WILLIAMS L.P. (PHILADELPHIA PA)
TX
07/11/2011 - 11/05/2018
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
CT
10/25/2005 - 07/01/2011
HARTFORD LIFE DISTRIBUTORS, LLC (HARTFORD CT)
IA
Issued 09/03/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2011
Series 7 - General Securities Representative Examination
BC
Issued 10/24/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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