DH
David S. Heiserman
THINKEQUITY LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 1488423
DH
Professional summary
David Scott Heiserman, who also goes by David Scott Heiserman, Trophy Heiserman, is a registered financial professional currently at THINKEQUITY LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Scott Heiserman | Trophy Heiserman
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.
CRS (Client Relationship Summary) - BD
Click below to view David Scott Heiserman'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®
NoneExperience
Current
March 7, 2023 - Present
THINKEQUITY LLC
Office #1: 17 State Street, 41st Floor, New York, NY 10004Office #2: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
September 30, 2022 - February 9, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
September 22, 2015 - June 17, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEW YORK, NY
Past
October 2, 2013 - August 21, 2015
JAVELIN SECURITIES, LLC
BD
CRD#: 107473
NEW YORK, NY
Past
September 12, 2011 - December 31, 2012
VCM SECURITIES, LLC.
BD
CRD#: 142026
NEW YORK, NY
Past
June 15, 2010 - June 8, 2011
CHAPDELAINE TULLETT PREBON, LLC
BD
CRD#: 7017
NEW YORK, NY
Past
September 11, 2008 - May 3, 2010
BLACKBIRD NORTH AMERICA
BD
CRD#: 104176
NEW YORK, NY
Past
October 1, 2001 - May 14, 2008
TULLETT LIBERTY BROKERAGE INC.
BD
CRD#: 19717
JERSEY CITY, NJ
Past
March 3, 1999 - November 21, 2000
MERIT CAPITAL ASSOCIATES, INC.
BD
CRD#: 30576
WESTPORT, CT
Past
September 9, 1998 - October 1, 1998
MERIT CAPITAL ASSOCIATES, INC.
BD
CRD#: 30576
Past
April 14, 1988 - September 18, 1998
TULLETT LIBERTY BROKERAGE INC.
BD
CRD#: 19717
JERSEY CITY, NJ
Past
April 23, 1986 - August 22, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/7/2023)
RR
Alaska(3/7/2023)
RR
Arizona(3/7/2023)
RR
Arkansas(3/7/2023)
RR
California(3/7/2023)
RR
Colorado(3/7/2023)
RR
Connecticut(3/7/2023)
RR
Delaware(3/7/2023)
RR
District of Columbia(3/7/2023)
RR
Florida(3/7/2023)
RR
Georgia(3/7/2023)
RR
Hawaii(3/7/2023)
RR
Idaho(3/7/2023)
RR
Illinois(3/7/2023)
RR
Indiana(3/7/2023)
RR
Iowa(3/7/2023)
RR
Kansas(3/7/2023)
RR
Kentucky(3/7/2023)
RR
Louisiana(3/7/2023)
RR
Maine(3/7/2023)
RR
Maryland(3/7/2023)
RR
Massachusetts(3/7/2023)
RR
Michigan(3/7/2023)
RR
Minnesota(3/7/2023)
RR
Mississippi(3/7/2023)
RR
Missouri(3/7/2023)
RR
Montana(3/7/2023)
RR
Nebraska(3/7/2023)
RR
Nevada(3/7/2023)
RR
New Hampshire(3/7/2023)
RR
New Jersey(3/7/2023)
RR
New Mexico(3/7/2023)
RR
New York(3/7/2023)
RR
North Carolina(3/8/2023)
RR
North Dakota(3/7/2023)
RR
Ohio(3/7/2023)
RR
Oklahoma(3/7/2023)
RR
Oregon(3/7/2023)
RR
Pennsylvania(3/7/2023)
RR
Puerto Rico(3/7/2023)
RR
Rhode Island(3/7/2023)
RR
South Carolina(3/7/2023)
RR
South Dakota(3/7/2023)
RR
Tennessee(3/7/2023)
RR
Texas(3/7/2023)
RR
Utah(3/7/2023)
RR
Vermont(3/7/2023)
RR
Virgin Islands(3/7/2023)
RR
Virginia(3/7/2023)
RR
Washington(3/7/2023)
RR
West Virginia(3/7/2023)
RR
Wisconsin(3/7/2023)
RR
Wyoming(3/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
