Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Grindel is a financial advisor registered with UBS Financial Services Inc. David has been in the industry since 2001 and has experience with Cambridge Investment Research, Inc., Morgan Stanley and Sagepoint Financial, Inc.. David is a Certified Financial Planner and holds the Series 4, 7, 24, 63 and 65 licenses.
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
FL
08/12/2024 - Present
UBS Financial Services Inc. (TAMPA FL)
FL
07/18/2018 - 07/11/2024
MORGAN STANLEY (Tampa FL)
FL
05/11/2009 - 06/25/2018
CAMBRIDGE INVESTMENT RESEARCH, INC. (Tampa FL)
FL
10/31/2005 - 05/21/2009
SAGEPOINT FINANCIAL, INC. (TAMPA FL)
AZ
11/05/2001 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 04/22/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2014
Series 4 - Registered Options Principal Examination
BC
Issued 03/19/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2001
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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