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 Laub is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David is a registered representative with 22 years of experience in the financial services industry. David has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since August 2008. David is a Series 63 and 65 licensed individual. David's professional background includes experience at Nevwest Securities Corporation, American Express Financial Advisors Inc. and IDS Life Insurance Company. David has a total of 53 registered states and is registered as an Investment Advisor Representative in CA, ID, NV and TX.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NV
02/16/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
NV
12/05/2001 - 10/16/2007
NEVWEST SECURITIES CORPORATION (LAS VEGAS NV)
MN
01/29/2001 - 10/23/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/29/2001 - 10/23/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NV
06/06/2000 - 01/09/2001
NEVWEST SECURITIES CORPORATION (LAS VEGAS NV)
IA
Issued 02/13/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/17/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/06/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2015
Series 3 - National Commodity Futures Examination
BC
Issued 07/31/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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