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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 Elliot Krigstein is a financial advisor with UBS Financial Services Inc. David has been working in the financial industry since 1987 and is registered with both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). He has passed the Series 3, 7, 8, 9, 10, 63, and 65 exams. He specializes in providing financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions. David is currently based in Westlake Village, California and has been with UBS Financial Services Inc. since 2010.
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.
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.
See schedule d - miscellaneous
1
2
CA
07/08/1997 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
NA
09/22/1987 - 06/06/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 03/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/08/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
BC
Issued 07/28/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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