Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mark Fishman is a financial advisor with over 20 years of experience in the industry. David currently works for Ameriprise Financial Services, LLC. David has worked at a number of firms over the years, including Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., and Prudential Securities Incorporated. David holds the Series 7, Series 63, and Series 65 licenses. David is also a registered representative of Ameriprise Financial Services, LLC in California.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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CA
02/26/2021 - Present
Ameriprise Financial Services, LLC (Los Angeles CA)
CA
01/03/2011 - 03/08/2021
WELLS FARGO CLEARING SERVICES, LLC (LOS ANGELES CA)
CA
04/23/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)
CA
10/23/2009 - 04/26/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
02/14/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (HOLLYWOOD CA)
NY
10/02/1998 - 02/25/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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