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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Stack is a financial advisor with over 30 years of experience in the financial services industry. He currently works for UBS Financial Services Inc. and is registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative. David Stack is also registered as an Investment Advisor Representative in several states, including Maryland, Florida, Texas and Virginia. His career spans multiple firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Prudential Securities Incorporated, and Kidder, Peabody & Co. Incorporated. David Stack holds the Series 3, 7, 31, and 63 securities licenses.
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
MD
07/02/2024 - Present
UBS Financial Services Inc. (Hunt Valley MD)
MD
08/20/2004 - 11/19/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNT VALLEY MD)
NY
07/22/1997 - 08/26/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/04/1993 - 07/24/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/09/1991 - 01/06/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NJ
06/22/1988 - 07/23/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 10/07/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2015
Series 3 - National Commodity Futures Examination
BC
Issued 11/29/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1988
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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