Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Douglas Welling is a financial advisor who has been in the industry since November 9, 2006. He is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Previously, David worked at HSBC Securities (USA) Inc. in New York, NY, and Zions Investment Securities, Inc. in Salt Lake City, UT. David is a Series 7, Series 63, Series 79TO and SIE licensed advisor. He is also registered as a broker-dealer in 51 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.
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.
1
2
NY
07/11/2019 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
09/20/2007 - 04/16/2019
HSBC SECURITIES (USA) INC. (NEW YORK NY)
UT
07/08/2004 - 08/10/2005
ZIONS INVESTMENT SECURITIES, INC. (SALT LAKE CITY UT)
BC
Issued 08/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2018
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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