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. Siwiec is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the securities industry since 1993. David has passed the Series 7, Series 31, Series 63, and Series 66 exams. David provides services in the areas of Portfolio Management for Businesses, Portfolio Management for Individuals, Educational Seminars, Performance Measurement Reports, Allocation Modeling, IPS, Research Reports and Services, Pension Consulting and Selection of Other Advisors. David is licensed to conduct business in 38 states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
06/13/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BUFFALO NY)
NY
07/31/1993 - 06/27/2008
CITIGROUP GLOBAL MARKETS INC. (BUFFALO NY)
NY
07/08/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 12/15/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 07/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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