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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 Yale Shugol is a financial advisor with Avantax Advisory Services. David has been in the financial services industry since 1995 and holds various licenses and certifications including Series 6, 7, 10, 31, 63 and 66 licenses. David is experienced in financial planning, investment selection, risk management, and goal tracking. Avantax Advisory Services is a financial advisory firm with a strong focus on providing comprehensive financial advice to individuals, families, and businesses. They are committed to helping clients achieve their financial goals through a personalized approach.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
FL
09/24/2021 - Present
Avantax Advisory Services (Myakka City FL)
FL
07/05/2013 - 10/06/2021
RAYMOND JAMES FINANCIAL SERVICES, INC. (LAKEWOOD RANCH FL)
FL
10/05/2009 - 07/18/2013
AMERIPRISE FINANCIAL SERVICES, INC. (SARASOTA FL)
FL
01/30/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (BRADENTON FL)
FL
04/02/2007 - 02/02/2009
MORGAN STANLEY & CO. INCORPORATED (BRADENTON FL)
FL
08/01/2000 - 04/02/2007
MORGAN STANLEY DW INC. (BRADENTON FL)
OH
10/30/1995 - 06/07/2000
CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)
BOTH
Issued 08/23/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/23/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 07/31/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/26/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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