Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Hallman is a financial advisor with UBS Financial Services Inc., a firm that manages more than $50 billion in assets. David has been in the industry since 1987 and has extensive experience in the securities and investment fields. David is registered to provide investment advice in California, Colorado, Florida, Indiana, New Jersey, New York, North Carolina, Pennsylvania, Texas and Utah. David's specializations include helping clients with their retirement planning, college savings, estate planning and insurance needs. David is also an expert in providing financial advice to individuals and families.
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
NY
10/02/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/26/2003 - 02/28/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
01/13/2000 - 12/04/2002
FLEET SECURITIES, INC. (DALLAS TX)
NY
11/20/1995 - 08/23/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/14/1992 - 11/28/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/30/1989 - 03/05/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/03/1987 - 01/16/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 11/21/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2012
Series 3 - National Commodity Futures Examination
BC
Issued 02/23/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/17/1987
Series 7 - General Securities 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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