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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Scott Wenig is a financial advisor with UBS Financial Services Inc., working out of their New York, NY office. David has been in the financial industry since 1991. In addition to being registered with FINRA, David is also registered in 53 states and the District of Columbia.
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
06/14/2006 - Present
UBS Financial Services Inc. (New York NY)
NY
07/27/2004 - 10/05/2004
BROADBAND CAPITAL MANAGEMENT, LLC (NEW YORK NY)
CA
12/12/2003 - 06/02/2004
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
CT
06/02/2000 - 12/18/2001
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
NY
07/05/1989 - 05/24/2000
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
06/22/1988 - 08/31/1988
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
BOTH
Issued 05/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/24/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/18/1988
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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