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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 James Doughty is a financial advisor with UBS Financial Services Inc. David has over 35 years of experience in the financial services industry. David is registered with FINRA and has licenses in 15 states. David's specializations include fixed income, mutual funds, ETFs, equity securities, options, and variable annuities. David has been with UBS Financial Services Inc. since July 2011. Prior to that, David worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. David's office is located in PLANO, TX.
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
TX
07/01/2011 - Present
UBS Financial Services Inc. (PLANO TX)
TX
02/10/1993 - 07/05/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANO TX)
AZ
06/18/1989 - 02/23/1993
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
05/04/1990 - 12/02/1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
10/05/1988 - 06/18/1989
SOUTHMARK FINANCIAL SERVICES, INC.
NA
03/23/1988 - 10/12/1988
RAUSCHER PIERCE REFSNES, INC.
IA
Issued 07/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1988
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 09/10/1990
Series 24 - General Securities Principal Examination
BC
Issued 01/23/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 03/19/1988
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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