Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Farber is a financial advisor with over 23 years of experience in the industry. David is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. David has previously worked with BOFA SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA SECURITIES LLC, BANC OF AMERICA INVESTMENT SERVICES, INC. and UBS FINANCIAL SERVICES INC. David holds Series 63, 65, 7, 10, 9, 24, and SIE licenses. David specializes in Portfolio Management for Businesses, Portfolio Management for Individuals, and Investment Advisory Services. David currently offers his services to corporations, high-net-worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. David is registered in North Carolina.
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
NY
07/24/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/10/2019 - 07/29/2020
BOFA SECURITIES, INC. (NEW YORK NY)
NY
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/13/2005 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
MA
12/02/2003 - 06/29/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NJ
10/21/1999 - 11/26/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 11/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/2003
Series 24 - General Securities Principal Examination
BC
Issued 08/05/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/06/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1999
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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