Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Petty is a financial advisor at Raymond James & Associates, Inc. David has been in the financial services industry since June 20, 1990. David is registered with the following securities authorities: Alabama, California, Florida, Georgia, Kentucky, Maryland, Massachusetts, Mississippi, New Mexico, North Carolina, Tennessee, Texas, and Virginia. David is also registered as an Investment Advisor Representative in Alabama and Texas. David holds the Series 63, Series 65, Series 7, and SIE securities licenses and is a Certified Financial Planner. David previously worked at Morgan Keegan & Company, Inc., Regions Investment Company, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company.
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.
Please see note in schedule d - miscellaneous
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
AL
05/18/2016 - Present
Raymond James & Associates, Inc. (MONTGOMERY AL)
AL
04/12/2001 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MONTGOMERY AL)
AL
04/15/1994 - 04/12/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
MN
09/04/1990 - 02/14/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/04/1990 - 02/14/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CO
03/20/1990 - 07/31/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 11/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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