Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Wah Ly is a financial professional with over 25 years of experience in the industry. David Wah Ly is currently registered with Btig, LLC and has been with them since 2005. Prior to that, David Wah Ly was registered with BANC OF AMERICA SECURITIES LLC and MONTGOMERY SECURITIES. David Wah Ly holds licenses in 51 states and is a Series 63, Series 7, Series 9, Series 10, SIE, and Series 99TO licensee.
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
CA
11/22/2005 - Present
Btig, LLC (SAN FRANCISCO CA)
NY
10/01/1997 - 04/28/2005
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
12/11/1995 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
BC
Issued 05/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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