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David Grice

National Financial Services LLC

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About David Grice

David Grice has been in the financial services industry since November 7, 2001. David is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC. David holds the Series 7, 9, 10, 24, and 63 licenses as well as the SIE. David is currently registered in Rhode Island. David has been registered with National Financial Services LLC since May 11, 2017, and with Fidelity Brokerage Services LLC since March 2, 2016. Previously, David was registered with National Financial Services LLC from January 3, 2007, to April 1, 2015, and with Fidelity Brokerage Services LLC from November 6, 2009, to March 17, 2014. David was also registered with Fidelity Brokerage Services LLC from December 8, 2000, to January 3, 2007.

Firm Information

David Grice is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Grice’s Registration & Firm History

RI

05/11/2017 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

01/03/2007 - 04/01/2015

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

11/06/2009 - 03/17/2014

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

12/08/2000 - 01/03/2007

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 07/17/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/07/2012

Series 24 - General Securities Principal Examination

BC

Issued 02/14/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/01/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for David Grice. Review regulatory record here.
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