David M. Marks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Michael Marks was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 9 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2019 - August 1, 2025
TRADEZERO AMERICA, INC.
February 15, 2019 - July 31, 2019
PTR, INC.
October 31, 2018 - February 15, 2019
BENJAMIN & JEROLD BROKERAGE I, LLC
May 5, 2015 - November 3, 2018
DLB SECURITIES L.L.C.
February 3, 2014 - September 30, 2014
PTR, INC.
May 20, 2009 - February 3, 2014
ON POINT EXECUTIONS, LLC
January 22, 2009 - April 24, 2009
COMPASS PROFESSIONAL SERVICES EAST, LLC
October 5, 2007 - January 7, 2009
LL PARTNERS, INC.
February 13, 2006 - May 1, 2007
LL PARTNERS, INC.
April 1, 2004 - December 1, 2005
EQUITEC PROPRIETARY MARKETS, LLC
September 26, 2003 - April 1, 2004
COMPASS EXECUTION 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
Current Firm
TRADEZERO AMERICA, INC.
CRD#: 282940 / SEC#: , 8-69736
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEZERO USA INC | SHAREHOLDER | |
| CALLEJAS, KHRIS | PRINCIPAL FINANCIAL OFFICER | 6062989 |
| CALLEJAS, KHRIS | FINOP | 6062989 |
| CURET, JEFFREY HOWARD | REGISTERED OPTION PRINCIPAL / CHIEF OPERATIONS OFFICER | 4711190 |
| HAUPT, MICHAEL S | CEO | 2865821 |
| NACCARELLI, ANTONY CARMINE | CHIEF COMPLIANCE OFFICER | 1412706 |
| ORTEGON, MARY ANNETTE | MARKETING REGISTERED OPTIONS PRINCIPAL | 1297351 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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