David E. Shaw
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 Elliot Shaw, who also goes by David E Shaw, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 27 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
February 24, 2012 - March 9, 2017
DIFFUSION MARKETS, L.L.C.
August 21, 2000 - December 1, 2004
MARKETPOINT TRADING, L.L.C.
September 20, 1999 - October 29, 1999
KBC SECURITIES USA LLC
November 21, 1995 - July 23, 1999
FURTHER LANE SECURITIES, L.P.
November 8, 1994 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
August 28, 1990 - July 17, 2009
D.E. SHAW SECURITIES, L.L.C.
April 7, 1989 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
March 23, 1987 - January 18, 1988
MORGAN STANLEY & CO. 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
Current Firm
DIFFUSION MARKETS, L.L.C.
CRD#: 151235 / SEC#: , 8-68350
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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