David Schnall is a registered investment advisor, based in Miller Place, NY, with 38 years of industry experience.
Location
Miller Place, NY
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Regulatory History (3)
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Customer Dispute
July 2009Settled
Customer Dispute
February 2006Closed-No Action
Criminal
July 1990Final Disposition
Other Business Activities
David works full-time as a registered representative with Soundview Wealth Financial and an investment advisor representative with Kestra Advisory Services. Both roles involve investment-related activities.
Employment History
Current Registrations
Kestra Investment Services, LLC
September 2024 - Present · 1 yr 8 mos
Kestra Advisory Services, LLC
September 2024 - Present · 1 yr 8 mos
Kestra Investment Services, LLCBroker
September 2024 - Present · 1 yr 8 mos
Previous Registrations
UBS Financial Services INC.
October 2014 - September 2024 · 9 yrs 11 mos
UBS Financial Services INC.Broker
July 2014 - September 2024 · 10 yrs 2 mos
Morgan StanleyBroker
June 2009 - July 2014 · 5 yrs 1 mo
Wells Fargo Advisors, LLCBroker
January 2008 - June 2009 · 1 yr 5 mos
A. G. Edwards & Sons, INC.Broker
May 1995 - January 2008 · 12 yrs 8 mos
W.J. Nolan & Company, INC.Broker
October 1990 - June 1995 · 4 yrs 8 mos
F.S.G. Financial Services Group, INC.Broker
May 1988 - September 1990 · 2 yrs 4 mos
Equities International Securities, INC.Broker
February 1988 - May 1988 · 3 mos
Greeley Securities, INC.Broker
November 1987 - February 1988 · 3 mos
Macpeg, Ross, O'connell & Goldaber, INC.Broker
September 1987 - November 1987 · 2 mos
State Registrations14 states
ALCACOCTFLGAMAMINHNJNYSCTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.