Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ray Scharff is a financial advisor with UBS Financial Services Inc., located in Miamisburg, Ohio. David has been in the financial services industry since 1989. David is registered with FINRA as well as a number of state regulators. David holds the Series 3, 7, and 63 licenses, as well as the Series 65 license and the SIE exam. David provides a wide range of financial services to individuals and businesses, including portfolio management, financial planning, and retirement planning.
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
07/11/2011 - Present
UBS Financial Services Inc. (Miamisburg OH)
OH
06/01/2009 - 05/20/2011
MORGAN STANLEY SMITH BARNEY (DAYTON OH)
OH
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DAYTON OH)
NY
03/21/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1989
Series 3 - National Commodity Futures Examination
BC
Issued 03/18/1989
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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