Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Keith Bate is a financial advisor with LPL Financial LLC. David has been working in the financial industry since August 19, 1987. David specializes in providing financial planning, portfolio management, and consulting services to individuals, businesses, and charitable organizations. David is registered with the Securities and Exchange Commission (SEC) as an investment advisor representative (IAR) and is licensed to sell securities in California, Connecticut, New York, Oregon, and Texas. David has also earned the Series 63, Series 65, Series 7, and Series 24 licenses.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
09/17/2010 - Present
LPL Financial LLC (MANHATTAN BEACH CA)
CA
01/30/2004 - 09/20/2010
RAYMOND JAMES FINANCIAL SERVICES, INC. (MANHATTAN BEACH CA)
NY
07/31/1993 - 02/11/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/20/1987 - 07/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 09/11/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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