Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Wagstaff is a financial professional with over 20 years of experience in the industry. David is currently registered with Scotia Capital (usa) Inc. in California and is actively registered with the BrokerCheck system. Prior to that, David worked at HSBC SECURITIES (USA) INC. and DEUTSCHE MORGAN GRENFELL INC.. David's experience in the financial industry is extensive and includes a diverse set of licenses, exams and registrations including Series 7, Series 24, Series 62, Series 63, and Series 79TO. David is also registered in multiple states across the country.
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.
1
2
CA
09/02/2022 - Present
Scotia Capital (usa) Inc. (San Francisco CA)
CA
04/08/2004 - 08/05/2021
HSBC SECURITIES (USA) INC. (San Francisco CA)
NY
06/14/1995 - 02/14/1997
DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)
BC
Issued 04/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2004
Series 7 - General Securities Representative Examination
BC
Issued 06/13/1995
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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