Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bravo is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Brea, California. David has been in the financial industry since 2001. David has earned both the Series 7 and Series 66 licenses. He is also a registered principal with the firm, holding the Series 4, 9, 10 and 24 licenses. Prior to joining Merrill Lynch, David worked as a financial advisor at J.P. Morgan Securities LLC, Morgan Stanley Smith Barney and Citigroup Global Markets Inc.
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
CA
04/16/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BREA CA)
CA
09/12/2011 - 04/03/2019
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
06/01/2009 - 09/13/2011
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
08/05/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
WA
02/05/2004 - 07/27/2004
GREAT NORTHERN FINANCIAL SECURITIES, INC. (SPOKANE VALLEY WA)
MA
04/18/2002 - 09/05/2003
J. P. MORGAN INVEST, LLC (BOSTON MA)
CA
03/05/2001 - 06/07/2002
DREYFUS BROKERAGE SERVICES, INC. (LOS ANGELES CA)
BOTH
Issued 06/22/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/05/2016
Series 4 - Registered Options Principal Examination
BC
Issued 12/18/2012
Series 24 - General Securities Principal Examination
BC
Issued 02/12/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/16/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2001
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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