David M. Klein

MARKETAXESS

New York, NY 10001

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CRD#: 1594355

Professional summary

David Martin Klein, who also goes by David M Klein, is a registered financial professional currently at MARKETAXESS CORPORATION 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 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

July 23, 2019 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001

CRD#: 44542

New York, NY

Past

March 28, 2013 - August 9, 2019

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

ROSELAND, NJ

Past

March 3, 2008 - April 4, 2013

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

ROSELAND, NJ

Past

March 8, 2006 - March 4, 2008

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

June 24, 2005 - March 8, 2006

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

Past

January 13, 2004 - June 27, 2005

BNY CAPITAL MARKETS INC.

CRD#: 18303

NEW YORK, NY

Past

March 5, 2003 - January 9, 2004

THE NORTHSTAR GROUP, INC.

CRD#: 31282

GREENWICH, CT

Past

February 15, 2002 - March 20, 2003

COLLINS STEWART (SECURITIES) INC.

CRD#: 103746

NEW YORK, NY

Past

June 7, 1999 - February 27, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 12, 1997 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

December 26, 1986 - June 17, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/23/2019)

Alaska
(7/23/2019)

Arizona
(7/23/2019)

Arkansas
(7/23/2019)

California
(7/23/2019)

Colorado
(7/23/2019)

Connecticut
(7/23/2019)

Delaware
(7/23/2019)

District of Columbia
(7/23/2019)

Florida
(7/23/2019)

Georgia
(7/23/2019)

Hawaii
(7/23/2019)

Idaho
(7/23/2019)

Illinois
(7/23/2019)

Indiana
(7/23/2019)

Iowa
(7/23/2019)

Kansas
(7/23/2019)

Kentucky
(7/23/2019)

Louisiana
(7/23/2019)

Maine
(5/30/2025)

Maryland
(7/23/2019)

Massachusetts
(7/23/2019)

Michigan
(7/23/2019)

Minnesota
(7/23/2019)

Mississippi
(7/23/2019)

Missouri
(7/23/2019)

Montana
(7/23/2019)

Nebraska
(7/23/2019)

Nevada
(7/23/2019)

New Jersey
(7/23/2019)

New Mexico
(7/23/2019)

New York
(7/23/2019)

North Carolina
(7/23/2019)

North Dakota
(7/23/2019)

Ohio
(7/23/2019)

Oklahoma
(7/23/2019)

Oregon
(7/23/2019)

Pennsylvania
(7/23/2019)

Rhode Island
(7/23/2019)

South Carolina
(7/23/2019)

South Dakota
(7/23/2019)

Tennessee
(7/23/2019)

Texas
(7/23/2019)

Utah
(7/23/2019)

Virgin Islands
(7/23/2019)

Virginia
(7/23/2019)

Washington
(7/23/2019)

West Virginia
(7/23/2019)

Wisconsin
(7/23/2019)

Wyoming
(7/23/2019)

Exams

State Security Law Exam

Series 63

Date: 1/30/1987

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: 1/13/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARKETAXESS CORPORATION

MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB

CRD#: 44542 / SEC#: , 8-50727

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

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Contact information

Main Address

55 Hudson Yards 15th Floor, New York, NY 10001

Mailing Address

55 Hudson Yards 15th Floor, New York, NY 10001

Phone number

(212) 813-6000

Established

Delaware since 09/12/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MARKETAXESS HOLDINGS INC.	SHAREHOLDER
CIANCIULLI, MICHAEL ROBERT	PRINCIPAL FINANCIAL OFFICER	6980135
CONCANNON, CHRISTOPHER R	CHIEF EXECUTIVE OFFICER	2169224
PINTOFF, SCOTT ERIC	GENERAL COUNSEL & CHIEF LEGAL OFFICER	6281715
STEINFELD, RON EDWARD	CHIEF COMPLIANCE OFFICER	5747522

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

David M. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Martin Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

GLEACHER & COMPANY SECURITIES, INC.

BNY CAPITAL MARKETS INC.

KEEFE, BRUYETTE & WOODS, INC.

BNY CAPITAL MARKETS INC.

THE NORTHSTAR GROUP, INC.

COLLINS STEWART (SECURITIES) INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/1987

SIE

Date: 10/1/2018

Series 3

Date: 1/13/1989

Series 7

Date: 12/20/1986

Series 24

Date: 4/29/2002

FINRA

Current Firm

MARKETAXESS CORPORATION

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MARKETAXESS CORPORATION

TRUST BUT VERIFY

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