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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 King is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. David King has been in the industry since July 3, 2010. David King is licensed in 53 states, including Texas, Connecticut, and Alabama, and is registered with both FINRA and the SEC. David King offers advisory services including portfolio management for businesses, portfolio management for individuals, and pension consulting. David King works with clients of all types, including individuals, high-net-worth individuals, insurance companies, charitable organizations, corporations, and pension and profit-sharing plans. David King is also an advisory board member for the Hispanic Health Council Inc., which provides healthcare services to the Hispanic community in Hartford, Connecticut.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
CT
07/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW HAVEN CT)
MA
04/22/2010 - 10/10/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SPRINGFIELD MA)
MA
09/15/2008 - 07/15/2009
MORGAN STANLEY & CO. INCORPORATED (SPRINGFIELD MA)
BOTH
Issued 10/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/31/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/25/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/12/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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