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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 Krogh Lundquist is an investment advisor representative at UBS Financial Services Inc. David is licensed in 42 states. David's current licenses include Series 63, 65, and 7, as well as the SIE exam. David is also an approved investment adviser representative in Texas. David has been in the industry since 1988, having previously worked at KIDDER, PEABODY & CO. INCORPORATED. David is a member of the UBS Financial Services Inc. team and can assist with investment management, financial planning, and pension consulting. UBS Financial Services Inc. is a full-service broker-dealer with over $702 billion in assets under management. The firm offers a variety of investment products and services to individual and institutional clients.
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
WA
03/06/1995 - Present
UBS Financial Services Inc. (SEATTLE WA)
NY
03/30/1988 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 01/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
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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