Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Evan Stern is a financial advisor with UBS Financial Services Inc. David has been working in the financial services industry since December 11, 2005. David holds the Series 63, 66, 7 and SIE licenses. David is registered to offer investment advice in 18 states.
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
NY
01/09/2017 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/17/2016 - 05/20/2016
REVERE SECURITIES LLC (NEW YORK NY)
NY
10/28/2011 - 03/31/2016
BURNHAM SECURITIES INC. (NEW YORK NY)
NY
06/16/2003 - 04/25/2005
BRAVER, STERN SECURITIES CORP. (NEW YORK NY)
NY
05/07/1996 - 05/11/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 06/30/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2011
Series 7 - General Securities Representative 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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