David H. Gaynes

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CRD#: 1532779

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 Hollander Gaynes was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 8 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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

June 22, 2018 - June 21, 2022

YOSEMITE EXECUTION PARTNERS INC.

CRD#: 165587

LAFAYETTE, CA

Past

August 11, 2010 - February 10, 2017

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

June 5, 2002 - August 20, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 2, 1992 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

December 2, 1992 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

September 25, 1990 - December 18, 2001

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 5, 1990 - October 5, 1990

REICH & CO., INC.

CRD#: 19611

Past

February 8, 1990 - March 19, 1990

REICH & CO., INC.

CRD#: 19611

Past

July 31, 1986 - November 29, 1988

SHELTER ROCK SECURITIES CORP.

CRD#: 11043

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

Series 63

Date: 8/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/30/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/17/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 27

Date: 1/8/1993

Financial and Operations Principal Examination

Current Firm

YOSEMITE EXECUTION PARTNERS INC.

SEEDCHANGE EXECUTION SERVICES INC. | YOSEMITE EXECUTION PARTNERS INC.

CRD#: 165587 / SEC#: , 8-69173

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

409 Read Dr., Lafayette, CA 94549

Mailing Address

409 Read Dr., Lafayette, CA 94549

Phone number

(415) 264-1003

Established

Delaware since 05/08/2012

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SEEDCHANGE INC.	100% OWNER
BELHUMEUR, WILLIAM DANIEL	PRESIDENT & CEO / CCO	4544803
POSTREL, HELENE BERSON	FINOP	2240945
SMITH, KEVIN DUANE	CHIEF OPERATING OFFICER

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David H. Gaynes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BARCLAYS CAPITAL INC.

DEUTSCHE BANK SECURITIES INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

REICH & CO., INC.

REICH & CO., INC.

SHELTER ROCK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1986

SIE

Date: 10/1/2018

Series 3

Date: 4/30/2004

Series 7

Date: 7/19/1986

Series 8

Date: 4/17/1998

Series 27

Date: 1/8/1993

Current Firm

YOSEMITE EXECUTION PARTNERS INC.

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

YOSEMITE EXECUTION PARTNERS INC.

TRUST BUT VERIFY

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