Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Wayne Barth is a registered representative with HSBC Securities (USA) Inc. David Wayne Barth has been in the securities industry since March 13, 1999 and has 53 active state registrations. David Wayne Barth is also a General Securities Principal (Series 24) and holds the Securities Industry Essentials Examination (SIE) and the General Securities Representative Examination (Series 7). David Wayne Barth is a Series 63 Registered Representative with HSBC Securities (USA) Inc. and has been with the firm since July 6, 2018. David Wayne Barth's previous experience includes roles with UBS Securities LLC, SBC Warburg Dillon Read Inc., and Chase Securities Inc.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
07/06/2018 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
06/29/1998 - 11/17/2015
UBS SECURITIES LLC (NEW YORK NY)
CT
01/09/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
04/16/1996 - 09/29/1997
CHASE SECURITIES INC. (NEW YORK NY)
BC
Issued 08/10/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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