Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shanth? Claim Your ProfileShanth David is a financial advisor based in Irving, Texas. Shanth has been in the financial industry since October 17, 2001. Shanth is currently registered with Avantax Advisory Services. Previously, Shanth was registered with 1ST GLOBAL CAPITAL CORP., PROSPERA FINANCIAL SERVICES, INC., WFG INVESTMENTS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and FSC SECURITIES CORPORATION.
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
TX
10/25/2019 - Present
Avantax Advisory Services (IRVING TX)
TX
06/10/2015 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
12/01/2014 - 06/11/2015
PROSPERA FINANCIAL SERVICES, INC. (DALLAS TX)
TX
01/08/2014 - 12/01/2014
WFG INVESTMENTS, INC. (DALLAS TX)
WV
11/27/2012 - 01/02/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTINGTON WV)
TX
03/02/2004 - 11/05/2012
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
GA
10/07/2003 - 03/01/2004
FSC SECURITIES CORPORATION (ATLANTA GA)
TX
02/20/2003 - 06/04/2003
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
GA
02/04/2002 - 01/28/2003
PFS INVESTMENTS INC. (DULUTH GA)
AL
07/17/2001 - 08/13/2001
SOUTHTRUST SECURITIES, INC. (BIRMINGHAM AL)
TX
10/26/2000 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 01/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2004
Series 4 - Registered Options Principal Examination
BC
Issued 10/23/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/02/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/26/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 10/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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