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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 Caillier is an investment advisor representative at Robert W. Baird & Co. Inc. in Mill Valley, California. David has been in the industry since 2005. David is registered with the state of Texas as an Investment Adviser Representative, and the state of California as a Broker and an Investment Adviser Representative. David has passed numerous industry exams, including the Series 7, Series 9, Series 10, Series 66 and the SIE exam. David has prior experience at Credit Suisse Securities (USA) LLC and Jefferies & Company, Inc.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CA
02/03/2017 - Present
Robert W. Baird & Co. Inc. (Mill Valley CA)
CA
10/14/2009 - 10/26/2011
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
06/01/2007 - 10/12/2009
JEFFERIES & COMPANY, INC. (SAN FRANCISCO CA)
CA
05/11/2005 - 06/26/2007
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NE
02/28/2005 - 05/16/2005
SECURITIES AMERICA, INC. (LAVISTA NE)
BOTH
Issued 07/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/04/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/03/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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