David MannCRD Number: 5474333
Current Firm: Ubs Financial Services Inc.
David Mann (CRD# 5474333) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Huntsville, AL and has over 8 years of experience in the finance industry.
Raymond James & Associates, Inc.
Brol Capital Management, LLC
H.d. Vest Advisory Services, Inc.
|Ubs Financial Services Inc.||Huntsville, AL||Aug 2014 - Current||2|
|Security Assistance Management Directorate||Redstone Arsenal, AL||Oct 2011 - May 2014||2|
|University Of Alabama In Huntsville||Huntsville, AL||Dec 2008 - Oct 2011||2|
|Nylife Securities LLC||Huntsville, NY||Jul 2008 - Dec 2008||< 1|
|New York Life Insurance Co||Huntsville, AL||May 2008 - Jul 2008||< 1|
|University Of Alabama In Huntsville||Huntsville, AL||Aug 2003 - May 2008||4|
|Thrivent Financial||Huntsville, AL||Jul 2007 - Dec 2007||< 1|
|The Ledges||Huntsville, AL||Feb 2007 - Jun 2007||< 1|
|Valley Landscaping||Owens Cross Roads, AL||Mar 2006 - Nov 2006||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2008|
|S66||NASAA Uniform Combined State Law Examination||Oct 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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