Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Wallace is a financial advisor at Stifel, Nicolaus & Company, Inc., based in Morristown, NJ. David has been a financial advisor for over 30 years, serving clients in a variety of areas. David's career began in 1988, and David has held positions with various financial institutions throughout the years. David is currently registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 6, 7, 24, 63, 99TO, and SIE licenses. David is dedicated to providing personalized financial guidance to clients and helping them 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.
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
NJ
08/21/2007 - Present
Stifel, Nicolaus & Company, Inc. (MORRISTOWN NJ)
NJ
04/03/2000 - 08/21/2007
RYAN BECK & CO. (FLORHAM PARK NJ)
OH
03/04/1997 - 03/21/2000
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NJ
08/02/1988 - 03/10/1997
FINANCIAL NORTHEASTERN SECURITIES, INC. (FAIRFIELD NJ)
BC
Issued 07/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
BC
Issued 06/17/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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