Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Franklin Williams is a financial advisor currently working at RBC Capital Markets, LLC in Toledo, OH. David has been in the financial industry since 1985. David holds several licenses and registrations including Series 3, 5, 7, 15, 63, and 65. In addition to working for RBC Capital Markets, LLC, David also serves on the advisory board of the Epilepsy Center Foundation of Northwest Ohio. Prior to working at RBC Capital Markets, LLC, David has held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., and Prudential Securities Incorporated. David is registered to provide investment advice in multiple states, including Ohio, Arizona, and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
OH
01/13/2022 - Present
RBC Capital Markets, LLC (Toledo OH)
OH
11/13/2008 - 01/14/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TOLEDO OH)
OH
11/28/1994 - 11/21/2008
UBS FINANCIAL SERVICES INC. (SYLVANIA OH)
NY
02/21/1985 - 12/03/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 05/30/1995
Series 5 - Interest Rate Options Examination
BC
Issued 12/05/1989
Series 3 - National Commodity Futures Examination
BC
Issued 02/16/1985
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Williams is the right advisor for you? Invested Better is here to help.
