Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Upin is an investment advisor representative with RBC Capital Markets, LLC. David has been in the industry since March 21, 1984, and is registered in Arizona, Minnesota and Texas. David is also a registered investment advisor in Minnesota and Texas. David is affiliated with RBC Capital Markets, LLC, and has previously worked at WELLS FARGO ADVISORS, LLC, STIFEL, NICOLAUS & COMPANY, INCORPORATED, MORGAN STANLEY DW INC., DAIN RAUSCHER INCORPORATED, PIPER JAFFRAY INC. and BEAR, STEARNS & CO. INC.. David has a strong track record of success in the financial services industry. David is dedicated to providing clients with personalized financial advice and investment management 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
10/17/2012 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
04/27/2009 - 10/18/2012
WELLS FARGO ADVISORS, LLC (MINNEAPOLIS MN)
MN
10/03/2003 - 04/28/2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. PAUL MN)
NY
07/19/1999 - 10/07/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/02/1998 - 07/26/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
11/23/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MN
02/21/1989 - 11/28/1994
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NA
03/22/1984 - 03/04/1989
BEAR, STEARNS & CO. INC.
IA
Issued 01/04/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/13/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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