Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Hepner is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the securities industry since 1987 and has a wide range of experience. David is registered to provide investment advisory services in Tennessee and Texas. David is also a registered representative in over 40 states. David has obtained the SIE, Series 6, 7, 8, 9, 10, 22, 31 and 63 licenses. David has a history of employment with MML Investors Services, Inc., Bank of America, NA and Merrill Lynch, Pierce, Fenner & Smith Inc.
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
TN
01/07/1991 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NASHVILLE TN)
NA
01/14/1987 - 05/20/1987
MML INVESTORS SERVICES, INC.
IA
Issued 03/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1987
Series 63 - Uniform Securities Agent State Law 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 04/27/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
BC
Issued 01/27/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/01/1985
Series 22 - Direct Participation Programs 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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