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HG

Howard D. Gillman

DASH FINANCIAL TECHNOLOGIES LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1164113
HG

Professional summary

Howard David Gillman is a registered financial professional currently at DASH FINANCIAL TECHNOLOGIES LLC located in Chicago, Illinois.

Howard is registered as a RR (Registered Representative) and started their career in finance in 1983. Howard has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7, Series 15, Series 6, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Howard David Gillman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 1, 2017 - Present

DASH FINANCIAL TECHNOLOGIES LLC

Office #1: 200 S. Wacker Drive Suite 2450, Chicago, IL 60606
BD
CRD#: 104031
Chicago, IL
Past

November 24, 2014 - March 1, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
Chicago, IL
Past

April 21, 2011 - December 1, 2014

LIQUIDPOINT, LLC

BD
CRD#: 47658
CHICAGO, IL
Past

September 22, 2003 - April 1, 2011

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

November 16, 2000 - September 16, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 12, 2000 - November 6, 2000

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

February 19, 1999 - January 27, 2000

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

September 30, 1985 - February 4, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 7, 1983 - December 26, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/1/2017)
RR
Connecticut
(3/1/2017)
RR
Florida
(3/1/2017)
RR
Georgia
(3/1/2017)
RR
Illinois
(3/1/2017)
RR
Massachusetts
(3/1/2017)
RR
Minnesota
(3/1/2017)
RR
New Jersey
(3/1/2017)
RR
New York
(3/1/2017)
RR
North Carolina
(3/1/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/27/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 15
Date: 9/27/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 6
Date: 9/6/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/12/1999
Registered Options Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DF
DASH FINANCIAL TECHNOLOGIES LLC
DASH FINANCIAL LLC | ELECTRONIC BROKERAGE SYSTEMS, LLC | ELECTRONIC BROKERAGE SYSTEMS, INC. | DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031 / SEC#: , 8-52503

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Mailing Address
200 S.wacker Drive Suite 2450, Chicago, IL 60606
Phone number
(312) 986-2006
Established
Delaware since 12/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DFT INTERMEDIATE LLCMEMBER
BUTLER, JACLYN LEIGHCHIEF COMPLIANCE OFFICER4175577
LONGOBARDI, JEREMYFINOP6694598
MILITO, STINO MARIOPRESIDENT4072644
MILLER, TIMOTHY PATRICKCHIEF OPERATING OFFICER5175547

Disclosures

Regulatory Event68

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DASH FINANCIAL TECHNOLOGIES LLC

CRD#: 104031Chicago, IL 60606

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