Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lloyd is a financial advisor with over 25 years of experience in the financial services industry. David has a Series 7, 63, 31, and SIE licenses and is registered in 27 states. David is currently an Investment Advisor Representative with Rockefeller Financial LLC. Prior to joining Rockefeller Financial, David was a Financial Advisor with UBS Financial Services Inc. for over 16 years. David’s experience, knowledge, and commitment to providing exceptional client service have helped him build a strong reputation as a trusted financial advisor.
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.
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.
A percentage of the total value of assets under management is charged.
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TX
04/01/2021 - Present
Rockefeller Financial LLC (San Antonio TX)
TX
09/10/2004 - 04/12/2021
UBS FINANCIAL SERVICES INC. (SAN ANTONIO TX)
NY
08/30/1999 - 09/14/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
03/16/1998 - 08/17/1999
M. E. ALLISON & CO., INC. (SAN ANTONIO TX)
TX
01/27/1998 - 10/12/1998
INVERWORLD SECURITIES, INC. (SAN ANTONIO TX)
NY
11/15/1994 - 08/06/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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