Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Fielding Havens is a financial advisor with over 20 years of experience in the industry. David is currently registered with Stifel, Nicolaus & Company, Inc. in Winston-Salem, North Carolina. David has previously worked with J.J.B. HILLIARD, W.L. LYONS, LLC, UBS FINANCIAL SERVICES INC., and SCOTT & STRINGFELLOW, INC.. David holds Series 63, 65, 7, and SIE licenses. David Fielding Havens has a special focus on providing financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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
NC
03/14/2019 - Present
Stifel, Nicolaus & Company, Inc. (WINSTON-SALEM NC)
NC
06/07/2013 - 03/20/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (WINSTON-SALEM NC)
NC
05/25/2007 - 06/17/2013
UBS FINANCIAL SERVICES INC. (WINSTON-SALEM NC)
NC
05/05/1999 - 05/31/2007
SCOTT & STRINGFELLOW, INC. (WINSTON-SALEM NC)
VA
01/08/1997 - 05/05/1999
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
IA
Issued 01/31/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Havens is the right advisor for you? Invested Better is here to help.
