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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Kalani Ochotorena is a financial advisor with UBS Financial Services Inc. David has been in the financial services industry since May 2008, and has experience in providing financial planning and investment management services to individuals, corporations, and institutions. David holds a Series 7, Series 31, Series 63 and SIE license. David is also a Certified Financial Planner. David is registered with the state of Florida and is currently active in 21 states. UBS Financial Services Inc. is a leading global financial services firm with offices in the United States and around the world.
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.
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.
See schedule d - miscellaneous
1
2
FL
07/28/2021 - Present
UBS Financial Services Inc. (TAMPA FL)
FL
08/04/2010 - 07/22/2021
SANFORD C. BERNSTEIN & CO., LLC (TAMPA FL)
NY
04/08/2008 - 07/02/2010
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
BC
Issued 07/14/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 04/07/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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