Dwarka Persaud
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.
Dwarka Persaud, who also goes by David Persaud, was a registered financial professional .
Dwarka is a previously registered financial professional and started their career in finance in 1985. Dwarka had worked at 23 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
May 7, 2015 - June 2, 2017
BUCKMAN, BUCKMAN & REID, INC.
August 27, 2008 - April 21, 2015
GARDEN STATE SECURITIES, INC.
August 13, 2008 - September 26, 2008
ANDREW GARRETT INC.
January 9, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
July 18, 2005 - December 31, 2005
GUNNALLEN FINANCIAL, INC
August 10, 2004 - June 23, 2005
AURA FINANCIAL SERVICES, INC.
October 15, 2002 - July 20, 2004
GRANTA CAPITAL GROUP LLC
March 14, 2002 - September 17, 2002
WESTROCK ADVISORS, INC.
January 12, 2001 - April 4, 2002
GRAYSON FINANCIAL LLC
March 2, 2000 - January 2, 2001
GLENN MICHAEL FINANCIAL, INC.
February 13, 1998 - January 6, 2000
J.W. BARCLAY & CO., INC.
July 24, 1997 - December 3, 1997
BARINGTON CAPITAL GROUP, L.P.
August 1, 1996 - July 24, 1997
SHAMUS GROUP, INC.
November 9, 1992 - August 12, 1996
BLUESTONE CAPITAL CORP.
March 10, 1992 - October 20, 1992
LEHMAN BROTHERS INC.
August 31, 1989 - February 26, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1989 - September 13, 1989
PRINCETON FINANCIAL GROUP, INC.
August 31, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
May 18, 1988 - September 7, 1988
MORGAN STANLEY DW INC.
March 22, 1988 - May 19, 1988
PHILIPS, APPEL & WALDEN, INC.
January 4, 1988 - March 12, 1988
GREENTREE SECURITIES CORP.
December 23, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
August 20, 1985 - July 18, 1986
PRUCO SECURITIES, LLC.
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
Current Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
