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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Betz is a financial advisor with UBS Financial Services Inc. David has been in the financial services industry since January 1985. David is registered with FINRA as a general securities representative, and holds the Series 31, Series 7, and SIE exams. David is also registered as an investment advisor representative in Florida, Minnesota, and Texas. David is a partner at MERICAN LAND & CAPITAL, LLC, providing capital to residential construction. David has served clients in the following areas: individuals, high net worth individuals, corporations, other businesses, charitable organizations, pension and profit sharing plans, and state and municipal government entities.
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.
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.
See schedule d - miscellaneous
1
2
MN
06/26/2014 - Present
UBS Financial Services Inc. (ST PAUL MN)
MN
10/15/1999 - 08/12/2006
PIPER JAFFRAY & CO. (ST PAUL MN)
MN
09/19/1991 - 10/18/1999
JOHN G. KINNARD AND COMPANY, INCORPORATED (MINNEAPOLIS MN)
MN
05/09/1990 - 09/19/1991
HAYNE, MILLER FINANCIAL, INC. (MINNEAPOLIS MN)
NA
01/18/1988 - 05/15/1990
HEINER FINANCIAL SERVICES CORPORATION
NA
01/23/1985 - 10/04/1989
HEINER & STOCK, INC.
IA
Issued 09/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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