Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Finci is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the industry since 1989 and has a wide range of experience. David has worked for a number of other firms including Morgan Stanley, Citigroup Global Markets Inc., and Andover Brokerage, L.L.C. David has a number of licenses and designations, including the Series 7, Series 63, Series 65, and Series 31 exams. David is registered to provide investment advice in a number of states, including California, Colorado, Connecticut, Florida, Massachusetts, Nevada, New Jersey, New York, North Carolina, and Ohio. David specializes in providing investment advice to high net worth individuals, corporations, and other businesses. David offers a variety of services, including portfolio management, financial planning, and pension consulting. David is committed to providing his clients with the highest level of service and expertise.
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
CA
04/14/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
06/01/2009 - 04/14/2014
MORGAN STANLEY (CUPERTINO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CUPERTINO CA)
CA
03/16/2007 - 04/02/2007
MORGAN STANLEY DW INC. (CUPERTINO CA)
CA
01/19/2001 - 03/26/2007
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
12/04/1998 - 01/22/2001
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
05/12/1998 - 09/02/1998
NEPTUNE SECURITIES FINANCE, LLC (NEW YORK NY)
NY
10/23/1993 - 09/01/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
NY
06/01/1992 - 08/05/1993
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
05/10/1990 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
NA
10/31/1988 - 05/09/1989
THE STUART-JAMES COMPANY, INCORPORATED
NA
12/10/1987 - 04/28/1988
HAMILTON, GRANT & COMPANY, INC.
IA
Issued 4/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/2/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/26/1991
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/13/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 3/4/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/1987
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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