David R. Small
Professional summary
David Robert Small is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Robert Small's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2010 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017May 13, 2015 - December 9, 2015
GHS TRADING LLC
May 20, 1999 - March 17, 2009
UBS SECURITIES LLC
November 29, 1989 - March 23, 1990
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
August 18, 1987 - August 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2022)
(1/1/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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