David A. Barcus

KINGSROCK SECURITIES LLC

NEW YORK, NY 10022

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CRD#: 1880976

Professional summary

David Ashley Barcus is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 11 firms and has passed the Series 63, Series 82TO, 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 Ashley Barcus's CRS (Customer Relationship Summary).

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

December 8, 2024 - Present

KINGSROCK SECURITIES LLC

Office #1: 900 Third Avenue - Suite 1801, New York, NY 10022

CRD#: 325143

NEW YORK, NY

Past

December 11, 2023 - November 13, 2024

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

June 29, 2021 - December 11, 2023

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

New York, NY

Past

September 3, 2015 - June 30, 2021

BBVA SECURITIES INC.

CRD#: 27060

NEW YORK, NY

Past

April 15, 2013 - June 25, 2014

BREAN CAPITAL, LLC

CRD#: 23723

MORRISTOWN, NJ

Past

July 2, 2012 - April 8, 2013

VIRTU AMERICAS LLC

CRD#: 149823

GREENWICH, CT

Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

GREENWICH, CT

Past

June 1, 2010 - January 3, 2011

KNIGHT LIBERTAS LLC

CRD#: 124790

GREENWICH, CT

Past

February 1, 2010 - June 10, 2010

KROLL SECURITIES LLC

CRD#: 36927

CHICAGO, IL

Past

June 29, 2000 - May 7, 2008

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

November 30, 1998 - July 20, 2000

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

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

New York
(12/8/2024)

Exams

State Security Law Exam

Series 63

Date: 4/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 12/8/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KINGSROCK SECURITIES LLC

CRD#: 325143 / SEC#: , 8-71064

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

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Contact information

Main Address

900 Third Avenue, Suite 1801, New York, NY 10022

Mailing Address

900 Third Avenue, Suite 1801, New York, NY 10022

Phone number

(917) 992-4544

Established

Delaware since 01/20/2023

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KINGSROCK ADVISORS LLC	MEMBER
GOODE, JACQUELINE MARIE	CCO	1292607
JAFFE, LOUIS STEVEN	CHIEF EXECUTIVE OFFICER & MANAGING PARTNER	2310182
PLOTYCIA, STEVEN WILLIAM	FINOP/POO/PFO	5293014
WOHLIN, HAKAN NILS	MANAGING PARTNER	2329972

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 A. Barcus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Ashley Barcus's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVALON SECURITIES, LTD.

RAYMOND JAMES & ASSOCIATES, INC.

BBVA SECURITIES INC.

BREAN CAPITAL, LLC

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT LIBERTAS LLC

KROLL SECURITIES LLC

BNP PARIBAS SECURITIES CORP.

BNP PARIBAS INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1998

Series 82TO

Date: 12/8/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/1/1998

Series 24

Date: 4/15/2002

FINRA

Current Firm

KINGSROCK SECURITIES LLC

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KINGSROCK SECURITIES LLC

TRUST BUT VERIFY

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