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 Staats is a financial advisor who has been in the industry since 1987. David is a registered representative of UBS Financial Services Inc. and holds both Series 6 and Series 7 licenses, as well as a Series 63, and Series 65 license, a Series 3 license, and the SIE. David has a strong background in investments and specializes in helping individuals, businesses, and institutions manage their financial goals. In addition to his financial advisory role at UBS, David is also involved in real estate. He has experience in buying, selling, and managing rental properties. This experience makes David a well-rounded advisor who can assist clients with a variety of financial needs.
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
OH
02/28/1994 - Present
UBS Financial Services Inc. (AKRON OH)
NJ
10/06/1987 - 09/15/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 12/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1995
Series 3 - National Commodity Futures Examination
BC
Issued 11/02/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1987
Series 6 - Investment Company Products/Variable Contracts 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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