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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 Casalena is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the securities industry since 1991 and holds various licenses and registrations, including Series 3, 6, 7, 9, 10, 63, and 65. David has experience working with a variety of clients, including individuals, businesses, insurance companies, charitable organizations, and pension plans. In addition to providing investment advice, David also offers a range of other services, such as financial planning, performance measurement reports, allocation modeling, and investment policy statements. David is a member of Rockford Hockey Club and is also a hockey coach.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
07/22/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROCKFORD IL)
NJ
10/03/1991 - 02/27/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
10/03/1991 - 02/27/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 01/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/25/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2013
Series 3 - National Commodity Futures Examination
BC
Issued 04/03/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/02/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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