Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Garfin is a financial advisor currently registered with LPL Financial LLC. David has been in the financial industry since November 12, 1997, and has held prior positions with Stifel, Nicolaus & Company, Incorporated, Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Oppenheimer & Co. Inc., Prime Charter Ltd., and D. H. Blair & Co., Inc. David is a licensed securities professional and holds the Series 63, 66, 7, and SIE licenses. David has a significant number of clients, including individuals, corporations, and institutional investors. David's services include portfolio management, financial planning, and consulting.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
01/08/2025 - Present
LPL Financial LLC (NEWPORT BEACH CA)
CA
12/04/2015 - 07/28/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (LOS ANGELES CA)
CA
01/13/2012 - 12/04/2015
BARCLAYS CAPITAL INC. (LOS ANGELES CA)
CA
05/25/2005 - 02/03/2012
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
NY
01/02/2002 - 06/03/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
01/02/1998 - 01/02/2002
PRIME CHARTER LTD. (NEW YORK NY)
NY
11/13/1997 - 01/09/1998
D. H. BLAIR & CO., INC. (NEW YORK NY)
BOTH
Issued 08/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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