Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Warren is a financial advisor with UBS Financial Services Inc. David has been working in the financial services industry since 1995 and has held positions at several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc. David holds a Series 7, Series 63, and Series 65 licenses. David specializes in providing financial advice to individuals, families, and businesses. David provides financial planning, investment management, and other financial services. David is registered with the Securities and Exchange Commission (SEC) and several state securities regulators.
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.
See schedule d - miscellaneous
1
2
FL
02/27/2017 - Present
UBS Financial Services Inc. (Miami FL)
NY
08/15/2008 - 05/19/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/15/1995 - 09/04/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 11/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
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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