David J. Wald
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 Jeffrey Wald was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2013 - April 24, 2017
AVATAR SECURITIES, LLC
May 16, 2011 - April 10, 2012
AVATAR SECURITIES, LLC
May 18, 2006 - January 8, 2008
OPUS TRADING FUND LLC
August 5, 2003 - May 20, 2005
FIRST NEW YORK SECURITIES L.L.C.
March 23, 1990 - March 2, 1998
NATWEST SECURITIES CORPORATION
June 20, 1984 - March 14, 1990
DREXEL BURNHAM LAMBERT 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 55
Date: 8/14/2003
Limited Representative-Equity Trader ExamSeries 8
Date: 11/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
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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