Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Williams is a financial advisor with over 30 years of experience in the industry. David is currently registered with Wells Fargo Clearing Services, LLC and is located in St. Louis, MO. David has previously worked with Credit Suisse Securities (USA) LLC, UBS Financial Services Inc., and First Investors Corporation. David holds a number of securities licenses, including Series 6, 7, 9, 10, 14, 23, 24, 26, 79TO, 99TO, and the SIE exam. David offers financial planning and investment advisory services to a wide range of clients.
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
MO
05/09/2013 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NY
12/20/2010 - 05/08/2013
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
03/15/1996 - 12/15/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
10/28/1991 - 05/02/1995
FIRST INVESTORS CORPORATION (EDISON NJ)
BC
Issued 10/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/25/2019
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 07/01/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/11/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1999
Series 7 - General Securities Representative Examination
BC
Issued 10/25/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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