Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Maher is a financial advisor with over 33 years of experience in the industry. David Maher is registered with UBS Financial Services Inc. and has a Series 6, 7, 63, and 65 licenses as well as the SIE exam. David Maher has been with UBS Financial Services Inc. since March 2000. David Maher's previous employer was KIDDER, PEABODY & CO. INCORPORATED in NEW YORK, NY. David Maher specializes in providing investment advice to individuals, families, businesses, and institutions. David Maher's main area of focus is on providing a personalized and comprehensive approach to financial planning, investment management, and wealth preservation. David Maher is committed to helping clients 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.
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
OH
09/19/2002 - Present
UBS Financial Services Inc. (CLEVELAND OH)
NY
07/26/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 02/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1989
Series 6 - Investment Company Products/Variable Contracts 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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