Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Robertson is a financial advisor with over 14 years of experience in the industry. David has held the Series 7, Series 66, Series 55, Series 24, Series 57TO and Series 79TO licenses, as well as the SIE exam. David is currently registered with Raymond James & Associates, Inc. and is active in both Broker-Dealer and Investment Advisor roles in Indiana. Before joining Raymond James, David worked for MORGAN KEEGAN & COMPANY, INC. in Memphis, Tennessee. David has a history of working with high net worth individuals, corporations, and other businesses, insurance companies, pension plans and charitable organizations. David specializes in the areas of financial planning, pension consulting, portfolio management, and educational seminars.
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
NY
05/28/2013 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
TN
10/08/2008 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BOTH
Issued 02/12/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/07/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
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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