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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Frank Bement is a financial advisor who has been in the industry since March 4, 2019. David currently works for UBS Financial Services Inc. in Charlotte, North Carolina. He is registered with FINRA and the states of North Carolina and South Carolina. David is also registered as an Investment Advisor Representative (IAR) with the states of North Carolina and South Carolina. David has passed the Uniform Combined State Law Examination (Series 66) and the General Securities Representative Examination (Series 7TO).
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
NC
02/15/2022 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
BOTH
Issued 04/04/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/24/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/14/2019
SIE - Securities Industry Essentials 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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