Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Barber is a financial professional with over 20 years of experience in the industry. David is currently registered with Nuveen Securities, LLC and Tiaa-Cref Individual & Institutional Services, LLC. David has a strong background in securities, having passed numerous industry exams. David holds Series 7, 9, 10, 27, 63, 99TO, and SIE licenses. David is also registered in North Carolina.
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.
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.
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2
IL
03/26/2019 - Present
Nuveen Securities, LLC (CHICAGO IL)
NY
03/26/2019 - 09/27/2019
TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)
VA
01/03/2005 - 08/22/2007
FIRST CLEARING, LLC (RICHMOND VA)
MO
05/29/2001 - 12/31/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 06/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2018
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/03/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/02/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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