Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Scott McGaughey is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the securities industry since September 16, 1985 and is active in both the broker-dealer and investment advisory fields. David has a diverse client base and provides portfolio management, financial planning, and educational services. David is dedicated to building long-term relationships with clients and helping them achieve their financial goals.
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
IN
01/06/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAFAYETTE IN)
IN
08/21/1985 - 12/06/1993
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
IA
Issued 06/20/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/30/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1985
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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