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David Alford
36 Years of Experience
Frisco, TX
3 DisclosuresBroker
David Alford is a registered investment advisor at Raymond James & Associates, INC., based in Frisco, TX, with 36 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
6303 Cowboys Way, Suite 425, Frisco, TX, 75034
Get directionsHistory
Regulatory History (3)
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Customer Dispute
June 2019Denied
Customer Dispute
January 2003Denied
Customer Dispute
October 2002Denied
Other Business Activities
David is the 100% owner of a craft beer business since 2018. He does not work for the business during trading hours.
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
May 2020 - Present · 6 yrs
Raymond James & Associates, INC.
May 2020 - Present · 6 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2012 - May 2020 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2012 - May 2020 · 8 yrs 3 mos
UBS Financial Services INC.
June 2008 - March 2012 · 3 yrs 9 mos
UBS Financial Services INC.Broker
June 2008 - March 2012 · 3 yrs 9 mos
Citigroup Global Markets INC.
July 1993 - July 2008 · 15 yrs
Citigroup Global Markets INC.Broker
July 1993 - July 2008 · 15 yrs
Lehman Brothers INC.Broker
August 1990 - July 1993 · 2 yrs 11 mos
Carty & Company, INC.Broker
July 1987 - October 1988 · 1 yr 3 mos
State Registrations24 states
ALARAZCACOFLGAILLAMDMOMTNCNDNJNVNYOKSCSDTNTXVAWI
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.