Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid William Ellis is a financial advisor registered with UBS Financial Services Inc. David has been in the securities industry for 42 years. David has a Series 63 license. David has a Series 65 license. David has a Series 7 license. David has a Series 24 license. David is registered to provide investment advice in 42 states, including Ohio, South Carolina, and Texas. David's firm, UBS Financial Services Inc. is a large financial services firm with over $50 billion in assets under management. The firm provides financial planning, investment management, and educational seminars. The firm's headquarters are located in Weehawken, New Jersey.
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.
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.
See schedule d - miscellaneous
1
2
OH
02/28/2007 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
10/04/1991 - 02/09/2007
MCDONALD INVESTMENTS INC. (CINCINNATI OH)
NA
02/23/1981 - 10/04/1991
GRADISON & COMPANY INCORPORATED
IA
Issued 05/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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