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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 Stubbs is an Investment Advisor Representative at Raymond James & Associates, Inc. David has been working in the financial services industry since 2002. David has experience with various investment products and services including: portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. David is also registered in California with a Series 7, Series 63, and Series 79TO license. Previously, David has held positions at KEMA PARTNERS LLC, STANFORD GROUP COMPANY, THOMAS WEISEL PARTNERS LLC, DEUTSCHE BANK SECURITIES INC., and CITIGROUP GLOBAL MARKETS INC.
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.
Please see note in schedule d - miscellaneous
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
CA
12/18/2014 - Present
Raymond James & Associates, Inc. (SAN FRANCISCO CA)
CA
07/06/2009 - 12/19/2014
KEMA PARTNERS LLC (SAN FRANCISCO CA)
CA
05/06/2008 - 03/23/2009
STANFORD GROUP COMPANY (SAN FRANCISCO CA)
NY
08/10/2005 - 05/29/2008
THOMAS WEISEL PARTNERS LLC (NEW YORK NY)
NY
07/31/2003 - 08/11/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/23/2002 - 08/08/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 11/05/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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