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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 Jennings is a financial professional with over 35 years of experience in the industry. David Jennings is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously been registered with UBS Financial Services Inc. David Jennings holds Series 3, 7, and 63 licenses and is also a Series 65 licensed investment advisor representative. David Jennings is licensed in many states across the country, including DC, TX and VA. David Jennings' current firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is headquartered in New York, NY and has over $1 trillion in assets under management. The firm offers a variety of services, including investment management for individuals, businesses, and pooled investment vehicles. David Jennings also provides educational seminars and other services.
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
DC
12/04/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WASHINGTON DC)
DC
10/22/1985 - 08/21/2007
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
IA
Issued 07/17/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1985
Series 7 - General Securities 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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