David M. Tavdy
Professional summary
David Michael Tavdy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, David had worked at 4 firms, which includes FIS BROKERAGE & SECURITIES SERVICES LLC, GLEACHER & COMPANY SECURITIES INC., ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2003 - May 31, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
February 10, 1997 - February 3, 1999
GLEACHER & COMPANY SECURITIES, INC.
July 25, 1994 - February 1, 1995
ROBERT W. BAIRD & CO. INCORPORATED
July 25, 1994 - February 1, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 10, 1993 - February 9, 1994
ROBERT W. BAIRD & CO. INCORPORATED
September 10, 1993 - February 9, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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: 5/15/2003
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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