Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid K Compton is a financial professional with over 23 years of experience in the financial services industry. David is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Jacksonville, FL. David holds a broad range of professional licenses and designations, including Series 7, 9, 10, 24, 63, 66, and 99TO. David has an active license in 53 states and the District of Columbia. David provides a variety of investment advisory services to clients, including portfolio management, financial planning, and pension consulting. David has experience working with a variety of client types, including individuals, businesses, corporations, and institutions.
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
FL
11/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
BOTH
Issued 04/17/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2005
Series 24 - General Securities Principal Examination
BC
Issued 06/13/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2000
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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