Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Saxon is a registered representative with Needham & Company, LLC. David has been in the financial industry since 2012 and holds Series 7, 63, 66, 87 and SIE licenses. David has experience working with clients in California, Massachusetts and New York. Previous employment includes Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Securities research
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.
Pursuant to csa agreements
1
2
MA
07/12/2017 - Present
Needham & Company, LLC (BOSTON MA)
CA
12/21/2012 - 06/03/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OAKLAND CA)
BC
Issued 07/25/2017
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 01/17/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2017
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/12/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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