Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Steele is a financial advisor with over 9 years of experience in the financial services industry. David is currently registered with LPL Financial LLC as a Registered Representative and Investment Advisor Representative. Previously, David was a financial advisor at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC. David holds Series 6, 7, 7TO, 55, 63, and 66 licenses. David has a deep understanding of the financial markets and is committed to providing his clients with personalized financial advice and guidance.
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.
Consulting and other non-discretionary advisory services
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
SC
03/02/2022 - Present
LPL Financial LLC (FORT MILL SC)
NC
04/04/2013 - 06/24/2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NJ
11/25/2005 - 03/31/2008
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NY
11/19/2003 - 03/08/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
06/23/2003 - 10/08/2003
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NJ
08/09/2002 - 07/17/2003
MILLENNIUM BROKERAGE, L.L.C. (CHATHAM NJ)
NY
04/04/2001 - 03/14/2002
ELECTRONIC TRADING GROUP, LLC (NEW YORK NY)
BOTH
Issued 10/18/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/15/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/07/2021
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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