Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Waller is a financial advisor with over 20 years of experience in the financial services industry. David holds the Series 7, 9, 10 and 63 licenses. David currently works with National Financial Services LLC. Previously, David Waller worked with Fidelity Brokerage Services LLC for over 10 years. David Waller specializes in helping individuals and families achieve their financial goals.
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.
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.
1
2
TX
10/18/2017 - Present
National Financial Services LLC (WESTLAKE TX)
TX
01/24/2011 - 08/30/2017
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
04/11/2007 - 11/26/2012
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
12/04/1997 - 04/11/2007
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
BC
Issued 11/29/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/26/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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