Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Cave is an active broker and investment advisor representative with Morgan Stanley. Cave has been in the industry since 1989 and has experience with a variety of firms including Merrill Lynch, RBC Capital Markets, LLC, Stifel, Nicolaus & Company, Incorporated, and UBS Financial Services Inc. Cave is registered in 53 states and the District of Columbia for brokerage services and in California and Texas for investment advisory services. Cave holds Series 3, 4, 7, 8, 9, 10, 14, 24, 63 and 65 licenses. Cave's specializations include asset allocation, financial planning, pension consulting, educational seminars, and selection of other advisors.
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
CA
06/30/2023 - Present
Morgan Stanley (SAN RAFAEL CA)
CA
03/16/2022 - 04/17/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
05/24/2021 - 02/18/2022
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
03/23/2016 - 02/19/2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
CA
12/12/2014 - 01/19/2016
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
08/20/1999 - 12/08/2014
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
NY
09/24/1997 - 08/25/1999
CIBC WORLD MARKETS (NEW YORK NY)
CA
03/11/1997 - 08/30/1997
SMITH CULVER INVESTMENTS (SAN FRANCISCO CA)
TX
05/18/1990 - 09/12/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
12/06/1989 - 04/25/1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
NY
06/09/1989 - 10/20/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/21/1988 - 05/30/1989
PRUDENTIAL-BACHE SECURITIES INC.
NA
07/18/1988 - 10/31/1988
CHRISTOPHER WEIL & COMPANY, INC
NA
03/07/1988 - 07/14/1988
BIRR, WILSON SECURITIES, INC.
NA
12/23/1987 - 01/09/1988
BARABAN SECURITIES, INC.
IA
Issued 08/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/11/2003
Series 14 - Compliance Officer Examination
BC
Issued 08/06/1997
Series 24 - General Securities Principal Examination
BC
Issued 07/28/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2000
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1987
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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