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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 Schachter is a financial advisor at UBS Financial Services Inc., specializing in providing investment advice to individuals, businesses, and institutions. David has been in the financial services industry since 1992 and holds a variety of licenses and certifications including Series 3, 7, 9, 10, 31, 63, and 65. He is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed in 34 states.
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.
See schedule d - miscellaneous
1
2
CA
03/15/2004 - Present
UBS Financial Services Inc. (Los Angeles CA)
NY
04/01/1996 - 02/19/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 04/08/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
10/30/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2004
Series 3 - National Commodity Futures Examination
BC
Issued 02/13/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 10/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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