David Dicenso
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 Dicenso was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 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
June 16, 2023 - January 16, 2024
CODA MARKETS, INC.
March 30, 2020 - January 16, 2024
APEX CLEARING CORPORATION
December 2, 2009 - September 21, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
August 20, 2009 - November 2, 2009
CAPSTONE INVESTMENTS
December 19, 2006 - October 5, 2009
SPEEDROUTE LLC
November 13, 2006 - October 5, 2009
TZERO SECURITIES, LLC
June 27, 2006 - December 19, 2008
ORDER EXECUTION SERVICES, LLC
June 27, 2006 - October 5, 2009
OES BROKERAGE SERVICES, LLC
December 8, 2003 - March 8, 2004
FIS BROKERAGE & SECURITIES SERVICES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CODA MARKETS, INC.
CRD#: 36187 / SEC#: , 8-47077
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 15 |
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.
