Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Barker is a financial professional with over 25 years of experience in the financial services industry. David has a broad range of experience working with individuals, businesses, and institutions. David is currently registered with Stifel, Nicolaus & Company, Inc. Prior to joining Stifel, David was with Barclays Capital Inc. and Lehman Brothers Inc. David's areas of expertise include financial planning, portfolio management, and investment advice. David is committed to providing his clients with personalized service and helping 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.
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.
1
2
MA
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (BOSTON MA)
MA
09/30/2013 - 12/04/2015
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
09/22/2008 - 02/26/2013
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
08/03/2004 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
NY
03/08/2000 - 06/01/2004
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
11/23/1999 - 03/03/2000
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
06/19/1998 - 12/16/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
IL
10/11/1996 - 05/14/1998
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
BOTH
Issued 11/14/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2009
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
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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