Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Guier is a financial advisor in Tulsa, OK with over 40 years of experience. David has worked with several firms over his career, including Stifel, Nicolaus & Company, Incorporated, Lehman Brothers Inc., Smith Barney Inc., Prudential Securities Incorporated, Wells Fargo Clearing Services, LLC, and now Wells Fargo Advisors Financial Network, LLC. David is licensed in Oklahoma and Texas for securities and investment advisory services. David has also passed the Series 3, 7, 8, 9, 10, 63, and 65 exams.
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.
Investment consulting services to institutional clients
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
OK
02/22/2023 - Present
Wells Fargo Advisors Financial Network, LLC (TULSA OK)
OK
07/01/2003 - 02/17/2023
WELLS FARGO CLEARING SERVICES, LLC (TULSA OK)
NY
06/28/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 06/22/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
04/25/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/19/1983 - 04/09/1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED
IA
Issued 11/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/11/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1998
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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