David N. Low

MTS SECURITIES

New York, NY 10022

CRD#: 1799706

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Professional summary

David Nicholson Low JR is a registered financial professional currently at MTS SECURITIES, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Nicholson Low JR'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

June 5, 2017 - Present

MTS SECURITIES, LLC

Office #1: 623 Fifth Avenue 14th Floor, New York, NY 10022

CRD#: 104059

New York, NY

Past

August 19, 2002 - May 23, 2017

LAZARD FRERES & CO. LLC

CRD#: 2528

SAN FRANCISCO, CA

Past

July 21, 2000 - July 18, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

October 2, 1996 - July 5, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 23, 1988 - August 28, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

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
(6/5/2017)

Alaska
(6/5/2017)

Arizona
(6/5/2017)

Arkansas
(6/5/2017)

California
(6/5/2017)

Colorado
(6/5/2017)

Connecticut
(6/5/2017)

Delaware
(6/5/2017)

District of Columbia
(6/5/2017)

Florida
(6/5/2017)

Georgia
(6/5/2017)

Hawaii
(6/5/2017)

Idaho
(6/5/2017)

Illinois
(6/5/2017)

Indiana
(6/5/2017)

Iowa
(6/5/2017)

Kansas
(6/5/2017)

Kentucky
(6/5/2017)

Louisiana
(6/5/2017)

Maine
(6/5/2017)

Maryland
(6/5/2017)

Massachusetts
(6/5/2017)

Michigan
(6/5/2017)

Minnesota
(6/5/2017)

Mississippi
(6/5/2017)

Missouri
(6/5/2017)

Montana
(6/5/2017)

Nebraska
(6/5/2017)

Nevada
(6/5/2017)

New Hampshire
(6/5/2017)

New Jersey
(6/5/2017)

New Mexico
(6/5/2017)

New York
(6/5/2017)

North Carolina
(6/5/2017)

North Dakota
(6/5/2017)

Ohio
(6/5/2017)

Oklahoma
(6/5/2017)

Oregon
(6/5/2017)

Pennsylvania
(6/5/2017)

Puerto Rico
(6/5/2017)

Rhode Island
(6/5/2017)

South Carolina
(6/5/2017)

South Dakota
(6/5/2017)

Tennessee
(6/5/2017)

Texas
(6/5/2017)

Utah
(6/5/2017)

Vermont
(6/5/2017)

Virgin Islands
(6/5/2017)

Virginia
(6/5/2017)

Washington
(6/5/2017)

West Virginia
(6/5/2017)

Wisconsin
(6/5/2017)

Wyoming
(6/5/2017)

Exams

State Security Law Exam

Series 63

Date: 5/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MTS SECURITIES, LLC

KPS KAPITAL, LLC | MTS SECURITIES, LLC

CRD#: 104059 / SEC#: , 8-52515

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

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Contact information

Main Address

623 Fifth Avenue 14th Floor, New York, NY 10022

Mailing Address

623 Fifth Avenue 14th Floor, New York, NY 10022

Phone number

(212) 887-2100

Established

Delaware since 08/10/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MTS HEALTH PARTNERS, LLC	OWNER
CONROY, DENNIS MICHAEL	FINOP/CFO	3222121
DARITA-OPPENHEIM, LUCY	CHIEF COMPLIANCE OFFICER	2801418
EPSTEIN, MARK ELLIOT	GENERAL PRINCIPAL	2274559
LANE, CURTIS SCOTT	MANAGING MEMBER/DESIGNATED PRINCIPAL	718950

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 N. Low

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Nicholson Low JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD FRERES & CO. LLC

J.P. MORGAN SECURITIES INC.

JPMSI

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/1994

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Series 24

Date: 10/4/2002

FINRA

Current Firm

MTS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MTS SECURITIES, LLC

TRUST BUT VERIFY

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