Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Notrica is a financial advisor with over 39 years of experience in the industry. David is currently registered with Raymond James & Associates, Inc. in California and Texas. David has also held previous registrations with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., First Union Securities, Inc., Bateman Eichler, Hill Richards, Incorporated, Shearson Lehman Brothers Inc., and PaineWebber Incorporated. David is licensed to provide financial services and investment advice in several states.
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.
Please see note in schedule d - miscellaneous
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
CA
10/15/2019 - Present
Raymond James & Associates, Inc. (PALM DESERT CA)
CA
06/01/2009 - 09/14/2009
MORGAN STANLEY SMITH BARNEY (PALM DESERT CA)
CA
03/02/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PALM DESERT CA)
MO
09/04/1990 - 03/27/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NA
09/29/1987 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
03/04/1985 - 10/09/1987
SHEARSON LEHMAN BROTHERS INC.
NA
10/19/1983 - 02/08/1985
PAINEWEBBER INCORPORATED
IA
Issued 01/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/28/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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