Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Falk is a financial advisor with over 30 years of experience in the industry. David is currently registered with J.P. Morgan Securities LLC. David has held previous positions with UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. David is a highly experienced and knowledgeable financial advisor with a strong track record of success.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
CA
06/15/2020 - Present
J.p. Morgan Securities LLC (SAN FRANCISCO CA)
CA
05/19/2016 - 06/08/2020
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
10/22/2009 - 05/10/2016
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
06/01/2009 - 11/11/2009
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
06/07/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
02/09/2000 - 05/21/2002
PYRAMID FINANCIAL CORP. (CUPERTINO CA)
MA
09/09/1998 - 01/26/2000
MOORS & CABOT, INC. (BOSTON MA)
CA
10/14/1997 - 09/09/1998
DAKIN SECURITIES CORPORATION (SAN FRANCISCO CA)
CA
10/25/1991 - 08/30/1997
SMITH CULVER INVESTMENTS (SAN FRANCISCO CA)
IA
Issued 03/27/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/22/2010
Series 14 - Compliance Officer Examination
BC
Issued 11/15/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/06/1996
Series 24 - General Securities Principal Examination
BC
Issued 03/06/1996
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2004
Series 3 - National Commodity Futures Examination
BC
Issued 11/08/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/23/1991
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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