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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 Fried has been a registered investment advisor for over 20 years. David currently works as a registered representative at UBS Financial Services Inc. in Walnut Creek, CA. Prior to that, David was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Walnut Creek, CA. David's experience includes various roles at several firms including TD Ameritrade, Inc., Capstone Investments, Chase Securities Inc., Hambrecht & Quist LLC, SunAmerica Securities, Inc., State Street Brokerage Services, Inc., Fidelity Investments Institutional Services Company, Inc. and Putnam Financial Services, Inc. David has obtained the following licenses: Series 6, Series 7, Series 63, Series 65, and Series 66. David specializes in providing investment advice to individuals, families, and businesses. David also offers educational seminars and publishes periodicals. David is registered in multiple states to provide investment advice.
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
CA
04/21/2014 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
11/12/2009 - 04/22/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
NE
10/29/2008 - 01/27/2009
TD AMERITRADE, INC. (OMAHA NE)
CA
08/22/2002 - 08/29/2002
CAPSTONE INVESTMENTS (SAN DIEGO CA)
NY
02/01/2000 - 11/13/2000
CHASE SECURITIES INC. (NEW YORK NY)
CA
02/11/1997 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
AZ
11/07/1996 - 11/12/1996
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
MA
06/26/1992 - 05/21/1996
STATE STREET BROKERAGE SERVICES, INC. (BOSTON MA)
RI
03/15/1990 - 06/15/1992
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
06/14/1989 - 12/20/1989
PUTNAM FINANCIAL SERVICES, INC. (BOSTON MA)
NY
11/22/1989 - 12/12/1989
HIBBARD BROWN & CO., INC. (NEW YORK NY)
BOTH
Issued 12/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/13/1989
Series 6 - Investment Company Products/Variable Contracts 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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