David A. Handler

TIDAL PARTNERS

Palo Alto, CA 94301

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CRD#: 1824416

Professional summary

David Alan Handler is a registered financial professional currently at TIDAL PARTNERS located in Palo Alto, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 72, 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 Alan Handler'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

July 28, 2023 - Present

TIDAL PARTNERS

Office #1: 260 Homer Avenue Suite 101, Palo Alto, CA 94301Office #2: 3390 Mary Street Suite 116, Coconut Grove, FL 33133Office #3: 860 Broadway 5th Floor, New York, NY 10003

CRD#: 323885

Palo Alto, CA

Past

August 1, 2022 - July 26, 2023

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

August 25, 2008 - August 31, 2022

CENTERVIEW PARTNERS LLC

CRD#: 133796

Palo Alto, CA

Past

May 4, 2007 - July 16, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 5, 2000 - May 11, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 11, 1995 - April 12, 2000

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 29, 1992 - July 17, 1995

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

July 19, 1990 - October 22, 1991

JJC SECURITIES CO., INC.

CRD#: 3144

Past

June 9, 1988 - June 28, 1990

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

May 23, 1988 - May 31, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

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

Florida
(11/7/2023)

Exams

State Security Law Exam

Series 63

Date: 4/28/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 7/28/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TIDAL PARTNERS

TIDAL PARTNERS | TIDAL PARTNERS, LLC

CRD#: 323885 / SEC#: , 8-71026

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

260 Homer Avenue Suite 101, Palo Alto, CA 94301

Mailing Address

260 Homer Avenue Suite 101, Palo Alto, CA 94301

Phone number

(650) 748-9021

Established

Delaware since 08/01/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TIDAL PARTNERS HOLDINGS LP	MANAGER AND SOLE MEMBER
HANDLER, DAVID ALAN	CO-FOUNDER	1824416
HYON, ELIZABETH SUSAN	CHIEF OPERATING OFFICER AND GENERAL COUNSEL
NEEQUAYE, DAVID K.	CO-FOUNDER/CCO	4840648
ROCHE, PASCAL	FINOP/PFO/POO	5920968

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David A. Handler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Alan Handler's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

CENTERVIEW PARTNERS LLC

UBS SECURITIES LLC

J.P. MORGAN SECURITIES LLC

JEFFERIES LLC

OPPENHEIMER & CO. INC.

JJC SECURITIES CO., INC.

HIBBARD BROWN & CO., INC.

SHERWOOD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1988

Series 99TO

Date: 7/28/2023

Series 79TO

Date: 1/2/2023

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

Series 24

Date: 9/1/1999

FINRA

Current Firm

TIDAL PARTNERS

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TIDAL PARTNERS

TRUST BUT VERIFY

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