David P. Rousak
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 Philip Rousak, who also goes by David P Rousak, David Rousak, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 26 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
August 9, 2021 - September 3, 2024
AQUILA DISTRIBUTORS LLC
May 24, 2017 - July 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
March 20, 2015 - July 14, 2015
J.P. MORGAN SECURITIES LLC
November 19, 2009 - October 3, 2011
TRADEWEB LLC
October 12, 2006 - February 11, 2009
UBS SECURITIES LLC
December 7, 1998 - September 15, 2006
BNY MELLON SECURITIES CORPORATION
February 14, 1992 - November 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
August 3, 1987 - January 8, 1992
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
AQUILA DISTRIBUTORS LLC
CRD#: 1706 / SEC#: , 8-13173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQUILA MANAGEMENT CORPORATION | SHAREHOLDER | |
| DIMAGGIO, JOSEPH PAUL | TREASURER | 1359940 |
| FILLMORE, RANDALL SCOTT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4188259 |
| HERRMANN, CONRAD BEADLE | MANAGER | 1370319 |
| HERRMANN, DIANA PARSONS | MANAGER | 2913698 |
| OBRIEN, PAUL GREGORY | PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL | 3129605 |
| ROSE, PAMELA CAROLINE MS. | SECRETARY | 1559550 |
| SARKANY, THOMAS THOMAS | MANAGER | 1024285 |
Red Flags
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