Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Martin Dodd is a financial advisor who has been in the industry since April 1986. He is currently registered with UBS Financial Services Inc., and previously held positions at UBS International Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, and Smith Barney, Harris Upham & Co., Incorporated. David Dodd has a wide range of experience, having worked with various clients, including individuals, high-net-worth individuals, corporations, pension plans, and charitable organizations. He is also a registered investment advisor and has a strong track record of success in the industry.
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
TX
03/28/2013 - Present
UBS Financial Services Inc. (MCALLEN TX)
CA
08/05/2005 - 01/01/2010
UBS INTERNATIONAL INC. (SAN DIEGO CA)
MO
07/01/2003 - 08/08/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/30/1990 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/17/1986 - 02/15/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
04/25/1986 - 06/10/1986
BROOK INVESTMENTS, INC.
IA
Issued 06/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2007
Series 24 - General Securities Principal Examination
BC
Issued 04/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/1993
Series 15 - Foreign Currency Options Examination
BC
Issued 01/15/1988
Series 3 - National Commodity Futures Examination
BC
Issued 04/19/1986
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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