Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Brennan is a financial advisor with over 35 years of experience in the industry. David is a registered representative of Raymond James & Associates, Inc. He has held previous positions at J.P. Morgan Securities LLC, Oppenheimer & Co. Inc., CIBC World Markets Corp., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is a Series 7, 9, 10, 24, 63, and 65 licensed advisor with a focus on providing financial planning and portfolio management for individuals, businesses, and retirement plans. David is committed to providing personalized service and helping his clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
NY
12/10/2014 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
10/10/2003 - 12/03/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
01/03/2003 - 10/02/2003
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
04/14/1989 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
08/20/1985 - 04/22/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/21/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/04/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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