Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Unger is a financial professional with over 17 years of experience in the financial services industry. David is currently registered with Wells Fargo Securities, LLC, a firm that has a broad reach across the United States. David has a diverse background, having previously worked at firms such as Truist Securities, Inc., BTIG, LLC, Deutsche Bank Securities Inc., and Northwestern Mutual Investment Services, LLC. His experience encompasses various aspects of the financial industry, including investment company products, variable contracts, direct participation programs, and research analysis.
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.
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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2
NY
05/17/2021 - Present
Wells Fargo Securities, LLC (New York NY)
NY
04/17/2020 - 05/19/2021
TRUIST SECURITIES, INC. (NEW YORK NY)
NY
08/13/2018 - 08/13/2018
BTIG, LLC (NEW YORK NY)
NY
08/28/2014 - 03/02/2018
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
WI
09/10/2003 - 10/16/2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BC
Issued 07/07/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 08/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/28/2014
Series 7 - General Securities Representative Examination
BC
Issued 09/09/2003
Series 6 - Investment Company Products/Variable Contracts 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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