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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 Staats Carey is an investment advisor representative at Oppenheimer & Co. Inc. David has been in the industry since May 21, 1984 and has a diverse background in financial services. David is registered as an investment advisor representative in California, Nevada and Texas. David is also registered as a broker-dealer in 36 states and the District of Columbia. David has a strong focus on providing investment advice and financial planning services to individuals, businesses, and institutions. David has a strong track record of success in the industry and is committed to providing his clients with the highest level of service. David is a valuable resource for clients seeking investment advice and financial planning services.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
10/04/2016 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
NY
11/09/1987 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
05/22/1984 - 11/20/1987
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 06/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1984
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 03/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1997
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
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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