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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sugar is a financial advisor at Morgan Stanley. David has been a registered representative for 23 years. David is also registered as an Investment Advisor Representative in Texas. David has been in the industry since 2000. David is registered with the state of Ohio. David is also a registered principal in Ohio. David has a Series 66, Series 31, Series 7, Series 10 and a Series 9 license. David also has a Securities Industry Essentials Examination. David has a background in portfolio management for individuals, businesses, and investment companies. David is also a registered representative for Merrill Lynch, Pierce, Fenner & Smith Incorporated. David has a special interest in investments and is currently involved in real estate ownership.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OH
06/01/2009 - Present
Morgan Stanley (Columbus OH)
OH
03/13/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (COLUMBUS OH)
OH
12/19/2000 - 03/16/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBUS OH)
BOTH
Issued 04/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/07/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/16/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/18/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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