Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Pugh is an investment advisor with over 20 years of experience in the financial services industry. David is currently registered with UBS Asset Management (us) Inc. in New York, NY. David has also previously worked for UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds a Series 7, 63, 66, 86 and 87 licenses.
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.
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.
1
2
NY
05/26/2021 - Present
UBS Asset Management (us) Inc. (NEW YORK NY)
NJ
10/12/2006 - 05/26/2021
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/10/2000 - 06/14/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/23/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/02/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 04/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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