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DC

David M. Chocko

LAIDLAW & COMPANY (UK) LTD.
NEW YORK, NY 10175
CRD#: 1515935
Some features on this profile are disabled
DC
David Michael ChockoLAIDLAW & COMPANY (UK) LTD.

Professional summary

David Michael Chocko is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

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) - BD

Click below to view David Michael Chocko's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 16, 2015 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: 521 5th Avenue 12th Floor, New York, NY 10175
BD
CRD#: 119037
NEW YORK, NY
Past

September 23, 2011 - November 19, 2015

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

May 13, 2011 - October 21, 2011

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
MELVILLE, NY
Past

February 13, 2009 - May 25, 2011

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MELVILLE, NY
Past

November 17, 2005 - February 27, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
MELVILLE, NY
Past

June 19, 2002 - November 18, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ALBANY, NY
Past

August 5, 2000 - November 18, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 2, 1998 - August 5, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

October 27, 1992 - March 18, 1998

EWEALTH SECURITIES, INC.

BD
CRD#: 25589
WHITE PLAINS, NY
Past

September 14, 1990 - October 5, 1992

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

February 1, 1990 - September 17, 1990

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

January 29, 1988 - February 12, 1990

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 21, 1987 - February 5, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

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
Arizona
(12/16/2015)
RR
California
(11/16/2015)
RR
Florida
(11/16/2015)
RR
Michigan
(2/24/2023)
RR
New Jersey
(11/16/2015)
RR
New York
(11/16/2015)
RR
North Carolina
(11/16/2015)
RR
Oklahoma
(10/13/2025)
RR
Pennsylvania
(11/16/2015)
RR
South Carolina
(2/4/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/20/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/1/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/7/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event10
Arbitration4

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

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037New York, NY 10175

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