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 Wardrop is a financial advisor registered with UBS Financial Services Inc. David is currently licensed and registered in 40 states, including New York, New Jersey, South Carolina, and Texas. David has been in the industry since 2008, previously holding positions at J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David specializes in providing financial planning, portfolio management for businesses and individuals, and educational seminars.
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
NY
07/26/2017 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/26/2011 - 07/02/2015
J.P. MORGAN SECURITIES LLC (new york NY)
IL
03/28/2008 - 04/19/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
IA
Issued 07/10/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 06/02/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2008
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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