Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Trevor Rix is a financial advisor with over 26 years of experience in the industry. David is currently registered with Morningstar Investment Management LLC. David specializes in providing financial advice to individuals, businesses, and pooled investment vehicles. Previously, David held positions at a variety of firms, including CAPFINANCIAL SECURITIES, LLC., J.P. MORGAN SECURITIES LLC, VALIC FINANCIAL ADVISORS, INC., TRANSAMERICA INVESTORS SECURITIES CORPORATION, FIDELITY BROKERAGE SERVICES LLC, and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC. David holds Series 6, 7, and 66 licenses. David also works as a Public Safety Officer at Snowbird.
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.
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.
Strategic management for diversified investment portfolios.
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.
Technology licensing fees, percentage of assets under advisement
1
2
UT
01/24/2023 - Present
Morningstar Investment Management LLC (Centerville UT)
UT
04/15/2020 - 10/26/2022
CAPFINANCIAL SECURITIES, LLC. (Salt Lake City UT)
UT
06/19/2019 - 09/10/2019
J.P. MORGAN SECURITIES LLC (SALT LAKE CITY UT)
UT
04/27/2017 - 10/13/2017
VALIC FINANCIAL ADVISORS, INC. (SALT LAKE CITY UT)
UT
01/23/2013 - 12/31/2016
TRANSAMERICA INVESTORS SECURITIES CORPORATION (NORTH SALT LAKE UT)
UT
09/26/2012 - 01/08/2013
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
NY
07/29/2009 - 05/09/2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
UT
05/13/2009 - 06/16/2009
E*TRADE SECURITIES LLC (SANDY UT)
UT
02/20/2007 - 02/02/2009
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
09/08/2005 - 01/29/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)
RI
04/15/1993 - 09/19/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
NJ
01/08/1993 - 02/25/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 10/30/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2017
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1993
Series 7 - General Securities Representative Examination
BC
Issued 01/06/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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