Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Whorton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Houston, TX. David has been working in the financial industry since 1999 and is registered to provide investment advice in all 50 states. David is a registered representative with FINRA and a licensed investment advisor in the state of Texas. He specializes in working with individuals, businesses, corporations, insurance companies, pension and profit sharing plans, and charitable organizations.
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
TX
11/13/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
04/20/2007 - 10/11/2019
CHARLES SCHWAB & CO., INC. (Houston TX)
TX
04/23/2004 - 04/12/2007
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
02/21/2003 - 05/03/2004
AMERICAN GENERAL DISTRIBUTORS, INC. (HOUSTON TX)
TX
09/02/1999 - 08/07/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
08/07/1998 - 08/28/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 08/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/08/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 08/06/1998
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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