Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Frank is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. David has been in the financial industry since 1999. Previously, David was a financial advisor at MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC.. David holds a Series 7, 31, 63 and 65 license. David is registered as a broker-dealer in 29 states and an investment advisor in 2 states. David specializes in working with individuals, businesses, corporations, pension plans, charitable organizations, insurance companies, and state or municipal government entities. David is a registered principal with Merrill Lynch.
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
MD
05/27/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
MD
06/01/2009 - 02/19/2013
MORGAN STANLEY (LUTHERVILLE MD)
MD
07/02/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LUTHERVILLE MD)
NY
01/13/2001 - 06/20/2002
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
04/26/2000 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
MD
04/13/1999 - 03/01/2000
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 03/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 04/12/1999
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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