David M. Gruppo
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 Martin Gruppo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 63, SIE, Series 79, Series 7 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
March 5, 2019 - August 8, 2019
NATIXIS SECURITIES AMERICAS LLC
June 2, 2016 - January 16, 2019
BCW SECURITIES LLC
October 19, 2011 - January 12, 2015
MUFG AMERICAS CORPORATE ADVISORY, INC.
September 17, 2001 - June 4, 2002
FANO SECURITIES LLC
February 29, 2000 - April 5, 2001
SOUNDVIEW TECHNOLOGY CORPORATION
November 15, 1999 - December 31, 2000
WIT CAPITAL CORPORATION
December 24, 1998 - June 23, 1999
GLC SECURITIES CORP.
September 24, 1996 - May 18, 1998
SANTANDER INVESTMENT SECURITIES INC.
December 22, 1994 - June 10, 1996
MORGAN STANLEY & CO. LLC
November 25, 1987 - January 18, 1995
GOLDMAN SACHS & 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
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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