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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 William Prockter is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. David William Prockter has over 20 years of experience in the financial services industry. Previously, David William Prockter was a financial advisor with UBS Financial Services Inc. and Citigroup Global Markets Inc. David William Prockter is licensed to provide investment advice in 34 states and is also a registered investment advisor in New York and Texas. David William Prockter is a Series 7, 63, 31, 65 and SIE licensed professional. David William Prockter is also registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
09/02/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITE PLAINS NY)
NY
11/12/2004 - 10/29/2013
UBS FINANCIAL SERVICES INC. (WHITE PLAINS NY)
NY
11/30/2000 - 11/19/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 01/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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