Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Vargas is a financial advisor with Raymond James & Associates, Inc. He is a registered representative of Raymond James and has been in the industry since 2006. David Vargas holds a Series 63, Series 57TO, SIE, Series 87, Series 86, Series 55, Series 25, and Series 7. He also is a Chartered Financial Analyst. David Vargas has been with Raymond James & Associates, Inc. since 2013. Previously, David Vargas worked at Nomura Securities International, Inc., Barclays Capital Inc. and Lehman Brothers Inc.
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
06/19/2013 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
07/12/2010 - 10/05/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
09/22/2008 - 07/22/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/22/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 08/23/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/18/2013
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/16/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/12/2006
Series 25 - NYSE Trading Assistant Examination
BC
Issued 08/21/2006
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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