Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Finn is a financial advisor with Wells Fargo Clearing Services, LLC. David has been working in the financial services industry since 2002. David holds licenses to conduct securities and investment advisory business in Indiana and Ohio. David has experience in providing financial planning and investment advice to individuals, businesses, and institutions.
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.
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.
Investment consulting services to institutional clients
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
OH
09/24/2015 - Present
Wells Fargo Clearing Services, LLC (AKRON OH)
OH
11/13/2009 - 09/23/2015
PNC INVESTMENTS (CLEVELAND OH)
OH
07/09/2008 - 11/13/2009
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
OH
09/07/2006 - 02/11/2008
AMERIPRISE FINANCIAL SERVICES, INC. (WESTLAKE OH)
OH
06/30/2004 - 08/31/2006
GENWORTH FINANCIAL SECURITIES CORPORATION (CLEVELAND OH)
CT
06/11/2002 - 06/30/2004
HOCHMAN & BAKER SECURITIES, INC. (STAMFORD CT)
BOTH
Issued 01/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/10/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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