Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bain is a registered representative with Nomura Securities International, Inc. in San Francisco, California. David has been in the industry since 1996 and has experience working for several firms, including SunTrust Robinson Humphrey, Inc., KeyBanc Capital Markets Inc., Pacific Crest Securities LLC, Sagent Advisors, LLC, Wachovia Capital Markets, LLC, Dresdner Kleinwort Wasserstein Securities LLC, and Lehman Brothers Inc. David holds the Series 7, Series 24, Series 63, SIE, and Series 79TO licenses and is registered in California and New York. David focuses on providing research-related 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.
Research-related services
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.
Negotiated fees for research-related services
1
2
CA
01/08/2019 - Present
Nomura Securities International, Inc. (SAN FRANCISCO CA)
CA
11/21/2016 - 10/12/2018
SUNTRUST ROBINSON HUMPHREY, INC. (SAN FRANCISCO CA)
CA
04/13/2015 - 11/17/2016
KEYBANC CAPITAL MARKETS INC. (SAN FRANCISCO CA)
CA
02/04/2013 - 04/13/2015
PACIFIC CREST SECURITIES LLC (SAN FRANCISCO CA)
CA
04/27/2009 - 02/05/2013
SAGENT ADVISORS, LLC (SAN FRANCISCO CA)
CA
07/01/2005 - 05/15/2009
WACHOVIA CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
NY
01/01/2005 - 07/18/2005
DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)
NY
02/28/2000 - 01/01/2005
DRESDNER KLEINWORT WASSERSTEIN, LLC (NEW YORK NY)
NY
10/03/1995 - 02/22/2000
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 10/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/07/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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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