Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Capelle is an active Registered Representative and Investment Adviser Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the industry since November 2001 and has a wide range of experience. David has passed both Series 66 and Series 7 exams, as well as the Securities Industry Essentials Examination. He has also worked with several other firms over the years, including MFS Fund Distributors, Inc., Columbia Management Distributors, Inc., and UBS PaineWebber Inc. David is currently registered in several states and has specialized in serving high net worth individuals, corporations, and institutions. David's current employment is with Merrill Lynch, Pierce, Fenner & Smith Inc., where he is part of the firm's team providing portfolio management for individuals and businesses, pension consulting and educational seminars.
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
MA
06/10/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HINGHAM MA)
MA
06/28/2006 - 06/27/2011
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
03/11/2002 - 06/20/2006
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
NJ
01/08/2001 - 12/10/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 02/09/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2001
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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