Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid S. Fried is a financial advisor in WALNUT CREEK, CA, with 24 years of experience in the financial industry. David is currently registered with UBS Financial Services Inc. in WALNUT CREEK, CA and has also previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, 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., PUTNAM FINANCIAL SERVICES, INC. and HIBBARD BROWN & CO., INC. David has successfully passed the SIE, Series 7, Series 6, Series 63, Series 65, and Series 66 exams. David is currently licensed and registered in 28 states. David is licensed to provide advisory services, which includes financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. David holds a specializations in 1, 2, 3, 4, 5, 6, and 9. David is also a proprietor of Les Petits Nursery School in Brookline, United States.
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 12/3/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 1/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2008
Series 7 - General Securities Representative Examination
BC
Issued 6/13/1989
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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