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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 Dudley is a financial advisor who has been in the industry since 1987. David is currently registered with Morgan Stanley. Prior to his current role, David was registered with Citigroup Global Markets Inc., Lehman Brothers Inc., PaineWebber Incorporated, Dain Bosworth Incorporated and Prudential-Bache Securities Inc. David is licensed to provide financial advice in California, Colorado, Hawaii, Louisiana, Massachusetts, New York, Oregon, Utah and Virginia. David is a Series 3, 7, 63, 66 and SIE licensed advisor. David also holds a license as an investment advisor. David is a voiceover artist in his spare time.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
01/23/2024 - Present
Morgan Stanley (Salt Lake City UT)
UT
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SALT LAKE CITY UT)
NY
09/23/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
09/21/1990 - 09/24/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/15/1988 - 04/11/1989
DAIN BOSWORTH INCORPORATED
NA
07/23/1986 - 03/24/1988
PRUDENTIAL-BACHE SECURITIES INC.
BOTH
Issued 01/22/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/1986
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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