Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Gaffney is a financial advisor with Mutual of America Securities LLC. David has been in the financial services industry since 2012. David is registered with FINRA and the state of North Carolina. David holds the following licenses and registrations: Series 6, Series 7, Series 63, Series 6TO, and SIE. David has experience with a number of firms including SUNGARD INSTITUTIONAL BROKERAGE INC., NEWPORT GROUP SECURITIES, INC., TRANSAMERICA SECURITIES SALES CORPORATION, FIRST UNION BROKERAGE SERVICES, INC., and VANGUARD MARKETING CORPORATION.
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.
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.
1
2
NC
12/20/2023 - Present
Mutual OF America Securities LLC (Charlotte NC)
NC
04/20/2011 - 12/31/2011
SUNGARD INSTITUTIONAL BROKERAGE INC. (CHARLOTTE NC)
FL
07/12/2006 - 04/08/2011
NEWPORT GROUP SECURITIES, INC. (LAKE MARY FL)
FL
01/21/2003 - 10/17/2005
NEWPORT GROUP SECURITIES, INC. (LAKE MARY FL)
CA
05/30/2000 - 08/19/2002
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
NC
05/14/1996 - 01/16/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
PA
08/30/1995 - 11/09/1995
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 12/12/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/06/2023
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/19/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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