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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid McLeroy is a financial advisor at Raymond James & Associates, Inc. David has over 30 years of experience in the financial services industry, specializing in investment advice and financial planning. David holds a Series 6, 7, 63 and 66 licenses and provides financial planning services for individuals, families, and businesses. David has been registered with the Securities and Exchange Commission since 2013 and is currently registered in 7 states, including Texas, Florida, Georgia, California, New York, and Montana.
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
TX
01/25/2013 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
01/19/2006 - 04/10/2012
RAYMOND JAMES & ASSOCIATES, INC. (HOUSTON TX)
TX
10/23/1995 - 01/18/2006
AMHERST SECURITIES GROUP, L.P. (HOUSTON TX)
TX
02/10/1988 - 08/07/1995
WESTCAP SECURITIES, L.P. (HOUSTON TX)
NA
02/10/1988 - 08/24/1994
WESTCAP GOVERNMENT SECURITIES, INC.
NA
07/15/1987 - 01/01/1988
ROTAN MOSLE INC.
BOTH
Issued 12/20/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 06/01/1987
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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