David A. Finkelstein
Professional summary
David Andrew Finkelstein is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1982. David has worked at 6 firms and has passed the Series 63, Series 72, Series 79TO, SIE, Series 16, Series 7, Series 15, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Andrew Finkelstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2019 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005Office #2: 100 Wall Street 18th Floor, New York, NY 10005March 15, 1994 - November 5, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
March 9, 1988 - April 24, 1989
PRESCOTT, BALL & TURBEN, INC.
February 1, 1985 - January 11, 1988
SCOTIA CAPITAL (USA) INC.
January 13, 1983 - October 1, 1984
TUCKER ANTHONY INCORPORATED
August 25, 1982 - December 29, 1982
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/5/2019)
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Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationFINRA
Current Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
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