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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 Mandel is a financial advisor with UBS Financial Services Inc. He is registered with the state of California as both a broker-dealer and an investment advisor. David has been in the financial services industry since 1981. Prior to joining UBS, he was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is also a registered representative with Oppenheimer & Co. Inc. and CIBC World Markets Corp. David holds the Series 7, Series 31, Series 63, and Series 65 licenses. He is a specialist in investment management and financial planning for individuals and businesses. He also offers services such as portfolio management for businesses and individuals, pension consulting, and educational seminars.
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
CA
10/29/2013 - Present
UBS Financial Services Inc. (Sherman Oaks CA)
CA
01/13/2004 - 10/30/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ENCINO CA)
NY
01/03/2003 - 01/12/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
04/20/1985 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
07/20/1981 - 03/29/1985
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 03/29/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/18/1981
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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