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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 Jay Bass is a financial advisor with over 30 years of experience in the financial services industry. David is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. David has a broad range of experience in the financial industry, including working for Morgan Stanley and its predecessor firm, Morgan Stanley DW Inc. He holds Series 7, 8, 9, 10, 31, 63 and 65 licenses. David specializes in providing financial advice to individuals, corporations and institutions. David also provides portfolio management services to high-net-worth individuals and families. David's clients benefit from his extensive knowledge of the financial markets and his commitment to providing personalized advice.
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
FL
12/17/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOCA RATON FL)
FL
04/02/2007 - 12/16/2008
MORGAN STANLEY & CO. INCORPORATED (BOCA RATON FL)
FL
04/20/1993 - 04/02/2007
MORGAN STANLEY DW INC. (BOCA RATON FL)
IA
Issued 03/09/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/1993
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 06/15/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/1993
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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