Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Caldwell Brown is a financial advisor with Raymond James Financial Services Advisors, Inc. David has been in the industry since January 17, 1996. David is a Registered Representative and Investment Advisor Representative, and holds Series 7, 24, 31, 51, 63, and 65 licenses. David has experience in providing financial planning, portfolio management, and pension consulting services to a wide range of clients, including individuals, businesses, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. David is also a board member of Peoples Bank/Peoples Investment Services and is an Associate/Employee of Peoples Bank/Peoples Investment Services.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NC
02/20/2020 - Present
Raymond James Financial Services Advisors, Inc. (NEWTON NC)
FL
06/05/1996 - 01/04/1999
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
MN
06/30/1994 - 11/15/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/30/1994 - 11/15/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 07/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/24/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 06/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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