Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Uva is a financial advisor with UBS Financial Services Inc. David has been in the industry since 1997. David has a wide range of experience and holds several licenses and certifications including the Series 7, 31, 63, and 65 exams. David is also a Certified Financial Planner and a Chartered Financial Consultant. David is registered in multiple states including Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Illinois, Kansas, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, and Washington. David specializes in providing financial advice to individuals, businesses, and charitable organizations. David is committed to providing his clients with personalized financial advice that meets their individual needs.
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
MA
08/15/2022 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
06/01/2009 - 12/05/2012
MORGAN STANLEY (BOSTON MA)
MA
04/07/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
IA
Issued 4/7/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/31/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 3/24/1997
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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