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David Sobel

Securities Management & Research, Inc.

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About David Sobel

David Sobel is a financial professional with over 35 years of experience in the securities industry. David is currently registered with Securities Management & Research, Inc. in Pennsylvania and Maryland. David has held previous registrations with several other firms including Hornor, Townsend & Kent, Inc., American General Securities Incorporated, USLIFE Equity Sales Corp., Investment Advisors & Consultants, Inc., Equico Securities, Inc., and The Equitable Life Assurance Society of the United States. David holds the Series 6, Series 26, and Series 63 licenses as well as the SIE exam.

Firm Information

David Sobel is currently registered with Securities Management & Research, Inc.. Securities Management & Research, Inc. is a corporation formed in December 1964. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

43

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Sobel’s Registration & Firm History

PA

07/23/2002 - Present

Securities Management & Research, Inc. (JEANNETTE PA)

PA

11/09/2000 - 02/22/2002

HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)

AZ

10/01/1997 - 11/17/1998

AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)

NY

12/12/1995 - 10/01/1997

USLIFE EQUITY SALES CORP. (NEW YORK NY)

NJ

04/04/1994 - 12/04/1995

INVESTMENT ADVISORS & CONSULTANTS, INC. (WEST LONG BRANCH NJ)

NY

01/26/1983 - 02/17/1994

EQUICO SECURITIES, INC. (NEW YORK NY)

NY

01/26/1983 - 02/17/1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/25/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/29/2003

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for David Sobel. Review regulatory record here.
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