Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David p? Claim Your ProfileDavid Sobocinski is a financial advisor with UBS Financial Services Inc. based in Melville, NY. David has been in the financial services industry since 1979. David has passed a number of exams, including the Series 7, Series 52, Series 63, Series 65, and Series 66. David is a registered representative and investment advisor in several states including New York, New Jersey, Florida and Texas. David previously worked at Morgan Stanley and Citigroup Global Markets Inc.
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
07/20/2021 - Present
UBS Financial Services Inc. (MELVILLE NY)
NY
06/01/2009 - 09/15/2015
MORGAN STANLEY (MELVILLE NY)
FL
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FORT LAUDERDALE FL)
NY
02/13/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/11/1979 - 01/30/1984
DAVID LERNER ASSOCIATES, INC.
BOTH
Issued 10/16/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1979
Series 52 - Municipal 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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