Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lowenthal is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in NEW YORK, NY. David has been in the industry since 1997. David has a broad range of experience in financial services. David has been registered with the Securities and Exchange Commission (SEC) since 2000 and holds Series 3, 7, 63, and 65 licenses. David is also a registered investment advisor in New Jersey, New York, and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
03/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
06/02/2000 - 06/04/2009
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
03/31/1997 - 06/08/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/1999
Series 3 - National Commodity Futures Examination
BC
Issued 03/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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