David Porcelli
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 Porcelli was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2020 - March 26, 2024
CLEARPOOL EXECUTION SERVICES, LLC
May 16, 2013 - March 26, 2024
BMO CAPITAL MARKETS CORP.
September 22, 2008 - March 16, 2012
BARCLAYS CAPITAL INC.
September 8, 1989 - September 22, 2008
LEHMAN BROTHERS INC.
July 24, 1989 - August 3, 1989
SMITH NEW COURT, INC.
October 20, 1987 - July 29, 1989
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/29/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 6/1/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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