Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ernest Farina is an active broker and investment advisor representative. David has been in the securities industry since July 20, 1980. David is currently registered with Stifel, Nicolaus & Company, Inc. and has been with them since July 2007. David is also registered with the following states: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Iowa, Louisiana, Maine, Maryland, Massachusetts, Michigan, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. David has been registered with various firms throughout their career, including Ryan Beck & Co. and Gruntal & Co., L.L.C. David has passed the Series 63, 65, 5, 7, and SIE exams. David is also a Lead Pastor for Calvary Full Gospel Church.
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.
1
2
PA
07/30/2019 - Present
Stifel, Nicolaus & Company, Inc. (YARDLEY PA)
PA
04/29/2002 - 07/31/2007
RYAN BECK & CO. (YARDLEY PA)
NY
02/22/1982 - 05/14/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NA
07/21/1980 - 04/01/1982
E. W. SMITH CO.
IA
Issued 05/28/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1982
Series 5 - Interest Rate Options Examination
BC
Issued 06/21/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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