Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Powers is a financial advisor with UBS Financial Services Inc. David has been in the financial services industry since 1994. David has a Series 7, Series 31, and Series 63 license and has a Series 65 license for investment advisory services. David also holds a SIE license, and is registered in a variety of states. David has previously worked with Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc. David provides a variety of financial advisory services to individuals, businesses, and other entities.
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
09/30/2022 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/06/2009 - 10/05/2022
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
08/18/2000 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/11/1994 - 08/24/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/01/1994
Series 7 - General 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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