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DS

David A. Shotland

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CRD#: 1498050
DS

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 Alexander Shotland was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1990. David had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 27, 2010 - January 14, 2014

GRANDWOOD SECURITIES LLC

BD
CRD#: 127211
BROOKLYN, NY
Past

December 6, 1993 - June 2, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 24, 1990 - November 22, 1993

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1999
General Securities Principal Examination

Current Firm

GS
GRANDWOOD SECURITIES LLC
GRANDWOOD SECURITIES LLC

CRD#: 127211 / SEC#: , 8-65964

BD
Terminated by SEC on 12/12/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/03/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRANDWOOD CAPITAL LLCOWNER
BIRNBAUM, ADAM SCOTTMANAGER/CO-CHIEF COMPLIANCE OFFICER1442268
KLEIN, CHARLES JFINANCIAL OPERATIONS PRINCIPAL4707746
MORTELL, MICHAEL JAMESMANAGER/CO-CHIEF COMPLIANCE OFFICER2505419

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.

Company Information

GRANDWOOD SECURITIES LLC

CRD#: 127211

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