Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Springer is a financial advisor in Charlotte, NC. David has been working in the financial services industry since May 2, 1999. David is currently registered with Fidelity Personal and Workplace Advisors in Charlotte, NC and Texas. David is also registered with the North Carolina and Texas Securities Divisions. David previously worked at TRANSAMERICA FINANCIAL ADVISORS, INC, STIFEL, NICOLAUS & COMPANY, INCORPORATED, CROSS POINT CAPITAL LLC, RBS GREENWICH CAPITAL, BANC OF AMERICA SECURITIES LLC, NATIONSBANC-CRT SERVICES, INC., CRT GOVERNMENT SECURITIES, LTD. and CRT SECURITIES.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
03/01/2023 - Present
Fidelity Personal AND Workplace Advisors (CHARLOTTE NC)
NC
05/24/2022 - 12/21/2022
TRANSAMERICA FINANCIAL ADVISORS, INC (CHARLOTTE NC)
NC
01/19/2011 - 12/31/2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CHARLOTTE NC)
NC
12/24/2009 - 01/26/2011
CROSS POINT CAPITAL LLC (CHARLOTTE NC)
CT
07/20/2005 - 06/06/2008
RBS GREENWICH CAPITAL (GREENWICH CT)
NY
10/31/1997 - 06/10/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
08/08/1989 - 04/02/1997
NATIONSBANC-CRT SERVICES, INC. (NEW YORK NY)
NA
09/15/1987 - 07/09/1993
CRT GOVERNMENT SECURITIES, LTD.
NA
07/18/1986 - 08/08/1989
CRT SECURITIES
BOTH
Issued 12/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/16/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/1986
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/03/1986
Series 24 - General Securities Principal Examination
BC
Issued 12/26/1985
Series 4 - Registered Options Principal Examination
BC
Issued 05/24/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/02/2021
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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