David L. Barber
Professional summary
David Lee Barber, who also goes by David Lee Barber Jr, is a registered financial professional currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Charlotte, North Carolina and NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lee Barber's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2007 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262March 26, 2019 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262March 26, 2019 - September 27, 2019
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 3, 2005 - August 22, 2007
FIRST CLEARING, LLC
May 29, 2001 - December 31, 2004
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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