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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 Sommers is a financial advisor currently associated with LPL Financial LLC. David has been a part of the financial industry since 1978 and has an impressive record of experience and expertise. David holds a variety of licenses and certifications, including Series 7, Series 24, and Series 63, showcasing David's commitment to providing comprehensive financial services. David works with a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. David's previous employers include Dean Witter Reynolds Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is registered to provide investment advisory services in multiple states, including Iowa, Texas, Florida, Arizona, Colorado, and many others.
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.
Consulting and other non-discretionary advisory services
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.
1
2
IA
01/10/2015 - Present
LPL Financial LLC (WEST DES MOINES IA)
NY
06/22/1979 - 01/04/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
09/26/1978 - 07/08/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
06/23/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 05/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/17/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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