Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Braxton Gay is a financial professional with over 30 years of experience in the industry. David is currently registered with Stifel, Nicolaus & Company, Inc. Prior to joining Stifel, Nicolaus & Company, Inc. David worked at Oppenheimer & Co. Inc., Stanford Group Company, Wachovia Securities, LLC and Wachovia Securities, Inc.. David is licensed to provide investment advice in several states, including North Carolina, Texas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Indiana, Kentucky, Maryland, Michigan, Missouri, Nevada, New York, Ohio, Pennsylvania, South Carolina, Tennessee, Virginia and Washington.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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
04/19/2017 - Present
Stifel, Nicolaus & Company, Inc. (CHARLOTTE NC)
NC
03/20/2009 - 04/16/2010
OPPENHEIMER & CO. INC. (CHARLOTTE NC)
NC
12/05/2008 - 03/16/2009
STANFORD GROUP COMPANY (CHARLOTTE NC)
NC
06/15/2002 - 12/08/2008
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
NC
07/21/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
04/24/1990 - 07/24/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 01/30/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/04/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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