Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lee Todd is a financial advisor with over 30 years of experience in the financial services industry. He is currently registered with Wells Fargo Clearing Services, LLC in Peoria, AZ. David has previously held positions at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Royce Park Investments, Inc., and Thomas James Associates, Inc. David is a licensed investment advisor representative and holds the following securities licenses: Series 63, 65, 7, 8, 9, 10, 31 and SIE. David specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. He is committed to providing clients with personalized service and guidance to help them achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
AZ
03/19/2012 - Present
Wells Fargo Clearing Services, LLC (PEORIA AZ)
AZ
06/01/2009 - 03/04/2011
MORGAN STANLEY SMITH BARNEY (PEORIA AZ)
AZ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PEORIA AZ)
NY
04/06/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/13/1989 - 04/07/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/16/1988 - 06/20/1989
ROYCE PARK INVESTMENTS, INC.
NA
01/19/1988 - 02/27/1988
THOMAS JAMES ASSOCIATES, INC.
IA
Issued 07/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/31/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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