Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Brawley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been working in the financial services industry since January 29, 2010. David is registered to offer securities and investment advisory services in 53 states. David is a registered principal and has passed the Series 7, Series 10, Series 9, and Series 66 exams. David specializes in offering financial advice and portfolio management services to individuals, businesses, corporations, trusts, and charitable organizations. David is also an officer for the Knights of Columbus Council #330, and works as a part-time security guard for RSIG Security and Customer Focused Security Group.
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
RI
04/18/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
MA
04/20/2011 - 10/03/2012
NEW ENGLAND SECURITIES (WELLESLEY MA)
MA
04/08/2008 - 11/19/2010
WELLS FARGO ADVISORS, LLC (BOSTON MA)
BOTH
Issued 04/25/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/19/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2008
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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