Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Winn is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since April 2005. David has experience with Morgan Stanley and State Farm VP Management Corp. David has a broad array of securities registrations and holds Series 6, 7, 31, 63, 65 and SIE exams. David has an extensive background in working with corporations, individuals, pension and profit sharing plans, insurance companies, and charitable organizations.
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
VA
07/03/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RICHMOND VA)
VA
10/05/2012 - 04/22/2015
MORGAN STANLEY (RICHMOND VA)
VA
03/08/2005 - 08/08/2012
STATE FARM VP MANAGEMENT CORP. (MECHANICSVILLE VA)
NY
01/01/2004 - 01/22/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
BC
Issued 08/16/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/11/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/28/2021
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 10/04/2012
Series 7 - General Securities Representative Examination
BC
Issued 12/24/2003
Series 6 - Investment Company Products/Variable Contracts 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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