David A. Kalish
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 Andrew Kalish 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, Series 55, 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 13, 2008 - December 21, 2012
D.E. SHAW SECURITIES, L.L.C.
October 4, 2007 - April 22, 2008
PSG EXECUTIONS, INC.
August 13, 2002 - November 7, 2005
ARAGON INVESTMENTS, LTD.
August 7, 2002 - January 4, 2006
CITADEL TRADING GROUP L.L.C.
April 19, 1999 - July 23, 2002
D. E. SHAW VALENCE, L.L.C.
March 17, 1994 - July 23, 2002
D.E. SHAW SECURITIES, L.L.C.
February 28, 1994 - July 23, 2002
D. E. SHAW INVESTMENTS, L.P.
November 25, 1987 - March 2, 1994
SALOMON BROTHERS INC.
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
Series 55
Date: 1/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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