Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Caudill has been a registered financial advisor for over 40 years. David is currently registered with Wells Fargo Clearing Services, LLC in Overland Park, KS. David holds Series 7, Series 5, Series 63, and Series 65 licenses, and has experience with multiple financial service firms including UBS Financial Services Inc, Kidder, Peabody & Co. Incorporated, and B.C. Christopher Securities Co.. David's past experience also includes working with Paine Webber Incorporated. David provides investment consulting services to institutional clients, and also specializes in financial planning, pension consulting, selection of other advisers, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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
KS
06/06/2019 - Present
Wells Fargo Clearing Services, LLC (OVERLAND PARK KS)
KS
01/28/1995 - 03/03/2010
UBS FINANCIAL SERVICES INC. (LEAWOOD KS)
NY
06/16/1988 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
10/08/1986 - 06/13/1988
B.C. CHRISTOPHER SECURITIES CO.
NA
07/13/1984 - 10/18/1986
E. F. HUTTON & COMPANY INC
NA
05/18/1981 - 07/13/1984
PAINEWEBBER INCORPORATED
IA
Issued 12/11/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1982
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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