Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Waugh is a financial professional with over 5 years of experience in the financial services industry. David is currently registered with Neuberger Berman BD LLC in New Jersey and New York. Previously, David was registered with BNP PARIBAS SECURITIES CORP. in New York. David has passed the Series 7, 63, 79, and SIE exams and is a licensed Investment Advisor Representative. David currently works as a financial advisor at Neuberger Berman BD LLC.
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NY
04/12/2021 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
09/08/2015 - 01/03/2017
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
IA
Issued 08/20/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/08/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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