Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mittelbusher is a financial professional with over 28 years of experience in the financial services industry. David is currently registered with Goldman Sachs & Co. LLC and has been with the firm since September 1996. Prior to joining Goldman Sachs, David was employed by SMITH BARNEY INC. David has a wide range of experience and holds several licenses including Series 3, 7, 9, 10, 63, 99TO and the SIE exam. David is registered to provide investment advisory services in 53 states and territories. David specializes in providing financial planning, portfolio management and educational seminars.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
MA
09/12/1996 - Present
Goldman Sachs & Co. LLC (BOSTON MA)
NY
06/30/1995 - 09/21/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
11/06/1992 - 08/17/1994
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 09/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2004
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 09/09/1996
Series 3 - National Commodity Futures Examination
BC
Issued 06/17/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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