David C. Gottlieb
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Carl Gottlieb was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2017 - January 17, 2018
SCHRODER FUND ADVISORS LLC
October 16, 2000 - February 28, 2003
CREDIT SUISSE SECURITIES (USA) LLC
April 5, 1995 - October 16, 2000
PERSHING LLC
August 29, 1986 - March 30, 1995
CITICORP SECURITIES, INC.
June 22, 1983 - July 18, 1986
INDIVIDUAL'S SECURITIES LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
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