Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid James Altman is a financial advisor who has been working in the industry since 1988. He is currently registered with Stifel, Nicolaus & Company, Inc. and previously worked for Morgan Stanley and its affiliates. David has experience working with individual investors, high-net-worth individuals, businesses, and institutions. David has been a registered representative since 1988 and an investment advisor representative since 2003. David's specializations include retirement planning, college savings, estate planning, and investment management.
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.
1
2
CA
04/24/2020 - Present
Stifel, Nicolaus & Company, Inc. (REDLANDS CA)
CA
06/01/2009 - 01/14/2016
MORGAN STANLEY (REDLANDS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (REDLANDS CA)
CA
10/10/1988 - 04/02/2007
MORGAN STANLEY DW INC. (REDLANDS CA)
IA
Issued 06/02/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/24/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1989
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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