Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Barrett is a financial advisor in Charlotte, NC with over 30 years of experience in the industry. David is a registered representative with Sterling Capital Management LLC, specializing in working with high-net-worth individuals, corporations, investment companies and other financial institutions. Prior to joining Sterling Capital Management, David held positions at several other firms including Foreside Fund Services, LLC, ALPS Distributors, Inc. and Aurus Advisors, Inc.. David holds the Series 63 and Series 65 licenses as well as the Series 7 and SIE. David is also a licensed investment advisor in North Carolina and Georgia.
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.
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.
Strategic management for diversified investment portfolios.
Wrap & model programs
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NC
11/07/2016 - Present
Sterling Capital Management LLC (Charlotte NC)
ME
10/02/2014 - 06/10/2016
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
CO
01/02/2013 - 09/19/2014
ALPS DISTRIBUTORS, INC. (DENVER CO)
FL
03/28/2012 - 11/27/2012
AURUS ADVISORS, INC. (PONTE VEDRA BEACH FL)
NC
03/27/2009 - 12/06/2011
OPTSECURITIES, LLC (CHARLOTTE NC)
NY
03/25/2002 - 03/21/2003
CONIFER SECURITIES LLC (NEW YORK NY)
NJ
04/22/1996 - 10/19/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
10/27/1988 - 04/23/1996
ALEX. BROWN & SONS INCORPORATED
NA
11/03/1987 - 11/09/1988
LEGG MASON WOOD WALKER, INCORPORATED
NA
10/30/1987 - 11/04/1987
LEGG MASON MASTEN INC.
NA
03/08/1983 - 10/30/1987
LEGG MASON WOOD WALKER, INCORPORATED
NA
12/10/1981 - 03/17/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/01/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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