Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid John Whaley is an Investment Advisor Representative and Registered Representative. David is associated with Raymond James & Associates, Inc., and has been in the industry since May 11, 2000. David has offices in St. Petersburg, FL and Prosper, TX. David has been registered with VOYA FINANCIAL ADVISORS, INC. since March 14, 2013, and was previously registered with ING FINANCIAL ADVISERS, LLC.
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.
Please see note in schedule d - miscellaneous
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
04/27/2022 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TX
03/14/2013 - 03/29/2022
VOYA FINANCIAL ADVISORS, INC. (Addison TX)
MN
10/15/2004 - 03/15/2013
ING FINANCIAL ADVISERS, LLC (MINNEAPOLIS MN)
FL
01/03/2002 - 09/10/2004
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CT
03/09/2000 - 12/31/2001
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
IA
Issued 10/20/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/2014
Series 24 - General Securities Principal Examination
BC
Issued 06/20/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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