Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Officer is a financial professional with over 20 years of experience in the financial services industry. David is currently registered with RBC Capital Markets, LLC and has been with the firm since December 2021. Prior to RBC Capital Markets, LLC, David was employed with Mesirow Financial, Inc. and Bear, Stearns & Co. Inc. David is a Series 3, 7, 52, 63, and 65 licensed professional with a strong background in investment management and financial planning. David's specializations include providing investment advice and services to a wide range of clients including individuals, families, corporations, and institutions. David is committed to providing personalized financial advice and guidance to help clients achieve their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
12/03/2021 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
05/24/2018 - 11/30/2021
MESIROW FINANCIAL, INC. (NEW YORK NY)
NY
10/27/2008 - 09/29/2014
MESIROW FINANCIAL, INC. (NEW YORK NY)
NY
07/31/2003 - 06/17/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/12/2000 - 06/23/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 06/11/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/09/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/26/2006
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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