Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Hum is a financial advisor with over 20 years of experience in the industry. David is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 3, 7, 63 and 65 licenses. David is currently registered with Morgan Stanley and is a licensed investment advisor in Arizona, California and Texas. David has previously worked with Citigroup Global Markets Inc and Morgan Stanley & Co. Incorporated. David has a strong track record of providing financial advice to individuals, families, businesses and institutions. David specializes in asset allocation, financial planning, pension consulting, portfolio management and selection of other advisors.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
06/01/2009 - Present
Morgan Stanley (Tucson AZ)
AZ
08/13/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TUCSON AZ)
AZ
05/30/2000 - 08/25/2008
CITIGROUP GLOBAL MARKETS INC. (TUCSON AZ)
IA
Issued 02/13/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2001
Series 3 - National Commodity Futures Examination
BC
Issued 05/26/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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