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 Finby is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been working in the financial industry since 1995. David holds the Series 7, Series 31, and Series 63 licenses. David is also a Registered Investment Advisor and has worked with clients in several states. David has worked with a diverse range of clients including individuals, corporations, insurance companies, pension plans, and charitable organizations. David is a member of the Ronald McDonald House - Charlotte Advisory Board.
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
NC
12/22/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
IA
Issued 07/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 09/06/1995
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
Not sure David Finby is the right advisor for you? Invested Better is here to help.
