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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 J. Mogan is a financial advisor with UBS Financial Services Inc., a leading global wealth management firm. With over two decades of experience in the financial services industry, David has a deep understanding of investment strategies and market trends. He is committed to providing personalized financial advice and guidance to help clients achieve their financial goals. David holds the Series 7, 6, 24, 51, and 63 licenses, demonstrating his expertise in a range of financial products and services. His primary focus is on providing comprehensive financial planning and investment management services for individuals, families, and businesses.
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
MA
01/25/2021 - Present
UBS Financial Services Inc. (ROCKLAND MA)
RI
05/03/2004 - 01/19/2021
FIDELITY DISTRIBUTORS COMPANY LLC (SMITHFIELD RI)
MA
06/30/2003 - 03/29/2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
BC
Issued 02/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2011
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/04/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/27/2003
Series 6 - Investment Company Products/Variable Contracts 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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