David W. Cannon

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

New York, NY 10036

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CRD#: 1270722

Professional summary

David William Cannon is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 David William Cannon'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

January 9, 2013 - Present

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Office #1: 1095 Avenue Of The Americas, New York, NY 10036

CRD#: 130847

New York, NY

Past

January 7, 2010 - August 24, 2012

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 13, 1998 - January 11, 2010

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 5, 1996 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

February 7, 1989 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

February 7, 1989 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

April 25, 1987 - February 10, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 20, 1984 - May 19, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

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

California
(3/17/2015)

New York
(1/9/2013)

Texas
(3/17/2015)

Exams

State Security Law Exam

Series 63

Date: 8/20/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/23/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847 / SEC#: , 8-66397

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

1095 Avenue Of The Americas, New York, NY 10036

Phone number

(212) 667-0700

Established

Delaware since 05/17/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STANDARD CHARTERED HOLDINGS INC.	OWNER
DEFILIPPO, MANDY J	PRESIDENT AND CHIEF EXECUTIVE OFFICER	7184614
HAUSCHILD, AUGUST DANIEL	ANTI MONEY LAUNDERING COMPLIANCE OFFICER	4287421
JONES, PAUL FAULKNER	CHIEF RISK OFFICER	7630280
NIELSEN, PETER	FINANCIAL AND OPERATIONS PRINCIPAL	1072259
PAULIC, JACINTA	CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS	5823367

Red Flags

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Advisor Monitoring

Firm Stability Insights

David W. Cannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David William Cannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/1984

SIE

Date: 10/1/2018

Series 79

Date: 12/23/2013

Series 7

Date: 6/16/1984

Series 24

Date: 1/19/2010

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

TRUST BUT VERIFY

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