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DK

David M. Klein

BONDS.COM LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 1594355
DK

Professional summary

David Martin Klein, who also goes by David M Klein, is a registered financial professional currently at BONDS.COM LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David M Klein

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 Martin Klein's 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

March 5, 2026 - Present

BONDS.COM LLC

Office #1: 32 Old Slip 34th Floor, New York, NY 10005
BD
CRD#: 43875
New York, NY
Past

July 23, 2019 - December 2, 2025

MARKETAXESS CORPORATION

BD
CRD#: 44542
NEW YORK, NY
Past

March 28, 2013 - August 9, 2019

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
ROSELAND, NJ
Past

March 3, 2008 - April 4, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
ROSELAND, NJ
Past

March 8, 2006 - March 4, 2008

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

June 24, 2005 - March 8, 2006

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

January 13, 2004 - June 27, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

March 5, 2003 - January 9, 2004

THE NORTHSTAR GROUP, INC.

BD
CRD#: 31282
GREENWICH, CT
Past

February 15, 2002 - March 20, 2003

COLLINS STEWART (SECURITIES) INC.

BD
CRD#: 103746
NEW YORK, NY
Past

June 7, 1999 - February 27, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 12, 1997 - June 7, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

December 26, 1986 - June 17, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
New York
(3/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1987
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 3
Date: 1/13/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BONDS.COM LLC
BONDS.COM LLC | PEDESTAL CAPITAL, INC. | PEDESTAL CAPITAL MARKETS, INC. | MTS MARKETS INTERNATIONAL, INC. | BONDS.COM, INC.

CRD#: 43875 / SEC#: , 8-50451

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

Main Address
32 Old Slip 34th Floor, New York, NY 10005
Mailing Address
32 Old Slip 34th Floor, New York, NY 10005
Phone number
(212) 257-4062
Established
Delaware since 06/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRADITION AMERICA HOLDINGS INC. (TAH")MEMBER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
FIORIO, ROBERT ANTHONYFINOP5525052
PACHECO, ROGER IICHIEF COMPLIANCE OFFICER1312459
PARKER, DAVID NELSONCEO4349441

Disclosures

Regulatory Event1

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

BONDS.COM LLC

CRD#: 43875New York, NY 10005

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