Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Dobbs is a financial advisor with over 30 years of experience in the financial services industry. David is registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2014. David holds Series 7 and Series 63 licenses as well as the Series 65 license. David has a history of working with both individuals and businesses, with a particular emphasis on providing financial planning, pension consulting, and investment consulting services. David is a Certified Financial Planner™.
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
SC
10/24/2014 - Present
Wells Fargo Clearing Services, LLC (NEWBERRY SC)
SC
10/23/2009 - 10/27/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBIA SC)
SC
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (COLUMBIA SC)
NA
06/07/1993 - 01/01/1998
NATIONSSECURITIES
MA
05/01/1987 - 06/07/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NA
02/20/1987 - 05/01/1987
NCNB SC SECURITIES, INC.
NA
06/10/1986 - 01/10/1987
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 10/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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