Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Oberman is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the securities industry since 1982. He has a broad range of experience, having worked at several firms including Wachovia Securities, LLC, Prudential Securities Incorporated, and Sterne, Agee & Leach, Inc. David is registered with the Securities and Exchange Commission (SEC) and holds the Series 3, 7, 9, 10, 24, 63, and 65 licenses. David is dedicated to providing personalized investment advice and financial planning services to his clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AL
03/11/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
TX
07/01/2003 - 04/26/2007
WACHOVIA SECURITIES, LLC (DALLAS TX)
NY
12/19/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
AL
01/04/1993 - 01/04/1995
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
MO
10/09/1990 - 01/04/1993
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
GA
05/24/1989 - 10/10/1990
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
NY
02/15/1988 - 06/05/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
10/17/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
08/26/1982 - 10/04/1984
A. G. EDWARDS & SONS, INC.
IA
Issued 02/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/1992
Series 24 - General Securities Principal Examination
BC
Issued 07/25/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1986
Series 3 - National Commodity Futures Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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