Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Victor Fishman is a financial advisor with over 12 years of experience in the financial services industry. He is currently registered with Raymond James & Associates, Inc. David has worked for several prominent financial institutions, including J.P. Morgan Securities LLC, Wells Fargo Advisors, LLC, and AMG Distributors, Inc. He holds Series 6, 7, 63 and 66 licenses and the Securities Industry Essentials (SIE) examination. David also has experience working with several investment products, including variable contracts, stocks, bonds, and mutual funds. David is committed to providing personalized financial advice to help individuals and families achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
MI
10/02/2024 - Present
Raymond James & Associates, Inc. (TROY MI)
FL
11/03/2017 - 08/15/2018
TOCQUEVILLE SECURITIES L.P. (Vero Beach FL)
CT
06/26/2015 - 10/31/2017
AMG DISTRIBUTORS, INC. (STAMFORD CT)
CT
09/16/2014 - 06/23/2015
WELLS FARGO ADVISORS, LLC (OLD GREENWICH CT)
NY
10/01/2012 - 08/07/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/10/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
BOTH
Issued 10/07/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/17/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2014
Series 7 - General Securities Representative Examination
BC
Issued 07/09/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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