Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid J. Guardia is a financial advisor with LPL Financial LLC. David is located in Newington, Connecticut and has been working in the financial services industry since 2002. David has been registered with LPL Financial LLC since 2012 and has held previous positions with EDWARD JONES. David's certifications include Series 7, Series 24, Series 63, and Series 66. In addition to being a financial advisor, David is also a real estate rental property owner.
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.
Consulting and other non-discretionary advisory services
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.
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CT
03/30/2012 - Present
LPL Financial LLC (NEWINGTON CT)
CT
04/02/2002 - 04/03/2012
EDWARD JONES (NEWINGTON CT)
BOTH
Issued 01/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/05/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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