Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Heffez is an Investment Advisor Representative with UBS Financial Services Inc. David has been in the industry since May 17, 1999. He is licensed in New York and Texas and holds Series 7, Series 63, Series 65, and SIE licenses. Before joining UBS Financial Services Inc., David was a Financial Advisor at Morgan Stanley and Citigroup Global Markets Inc.. David specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations.
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
NY
10/07/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 09/12/2024
MORGAN STANLEY (New York NY)
NY
01/11/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
12/01/2004 - 01/23/2007
ICAP SECURITIES USA LLC (JERSEY CITY NJ)
NJ
05/18/1999 - 12/31/2004
GARBAN CAPITAL MARKETS LLC (JERSEY CITY NJ)
IA
Issued 06/01/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1999
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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