Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Robert Tricker is a financial advisor at UBS Financial Services Inc. He is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to offer investment advice in Georgia and Texas. David has over 20 years of experience in the financial services industry, having worked previously at J.P. Morgan Securities LLC, OTR Global Trading LLC, Oppenheimer & Co. Inc., and CIBC World Markets Corp. David specializes in providing financial planning, portfolio management, and investment advice to individuals, families, and businesses. He is committed to helping clients achieve their financial goals through personalized investment strategies and comprehensive financial 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
GA
11/25/2014 - Present
UBS Financial Services Inc. (ALPHARETTA GA)
GA
06/02/2011 - 09/30/2013
J.P. MORGAN SECURITIES LLC (ATLANTA GA)
NY
01/15/2009 - 02/02/2010
OTR GLOBAL TRADING LLC (PURCHASE NY)
GA
01/14/2008 - 06/18/2008
OPPENHEIMER & CO. INC. (ATLANTA GA)
GA
02/06/2001 - 01/14/2008
CIBC WORLD MARKETS CORP. (ATLANTA GA)
IA
Issued 10/30/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2001
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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