David J. Memmott
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 James Memmott was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2021 - February 25, 2022
MACRO RISK ADVISORS LLC
April 29, 2019 - December 7, 2020
OLIVETREE FINANCIAL, LLC
December 15, 2014 - August 20, 2018
CLSA AMERICAS, LLC
April 14, 2010 - August 18, 2014
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
April 24, 1996 - April 19, 2010
MORGAN STANLEY & CO. LLC
May 31, 1991 - April 8, 1996
CREDIT SUISSE SECURITIES (USA) LLC
July 8, 1986 - June 11, 1991
SBC WARBURG DILLON READ INC.
May 22, 1985 - July 18, 1986
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1983 - April 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/27/1998
Limited Representative-Equity Trader ExamCurrent Firm
MACRO RISK ADVISORS LLC
CRD#: 148143 / SEC#: , 8-67973
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACRO HOLDINGS LLC | SHAREHOLDER - MEMBER | |
| CURNUTT, DEAN CARL | PRESIDENT | |
| LUTTENBERGER, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | |
| TAO, BING QIN | FINOP | 6253793 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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