David M. Sinrod
Professional summary
David M Sinrod is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Edgewood, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David M Sinrod's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2022 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 300 Executive Drive Suite 1, Edgewood, NY 11717-8382January 4, 2016 - May 27, 2022
TD SECURITIES (USA) LLC
October 29, 2008 - October 22, 2012
RBC CAPITAL MARKETS, LLC
February 15, 2006 - December 7, 2007
UBS CLEARING SERVICES CORPORATION
April 11, 2005 - September 14, 2006
ABN AMRO INCORPORATED
August 14, 2001 - April 7, 2005
ICBC STANDARD SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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