David P. Halesworth

BTIG

New York, NY 10022

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CRD#: 2100491

Professional summary

David Paul Halesworth, who also goes by David Paul Halesworth, David Halesworth, is a registered financial professional currently at BTIG, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1990. David has worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Paul Halesworth | David Halesworth

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 Paul Halesworth'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

October 21, 2024 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022

CRD#: 122225

New York, NY

Past

October 18, 2021 - May 2, 2024

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 8, 2010 - February 10, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 14, 2006 - March 8, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 4, 2001 - September 23, 2003

PRIMESHARES (NEW YORK) - CAPITAL MARKETS, LLC

CRD#: 112064

NEW YORK, NY

Past

June 11, 2001 - November 27, 2001

ISI CAPITAL, LLC

CRD#: 46869

NEW YORK, NY

Past

June 29, 2000 - December 14, 2000

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

May 20, 1999 - July 20, 2000

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

Past

January 20, 1998 - October 28, 1998

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

April 3, 1996 - December 12, 1997

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909

NEW YORK, NY

Past

April 3, 1992 - March 12, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 30, 1990 - February 27, 1991

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

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

California
(10/21/2024)

Connecticut
(10/21/2024)

Florida
(10/21/2024)

Illinois
(10/21/2024)

Massachusetts
(10/21/2024)

Nevada
(8/12/2025)

New Jersey
(10/21/2024)

New York
(10/21/2024)

Pennsylvania
(10/21/2024)

Texas
(10/21/2024)

Exams

State Security Law Exam

Series 63

Date: 10/29/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/24/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2006

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

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

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Contact information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CONDOR TRADING LP	MANAGER/MEMBER
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event	11
Civil Event	1

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 P. Halesworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Paul Halesworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

CREDIT SUISSE SECURITIES (USA) LLC

BANC OF AMERICA SECURITIES LLC

PRIMESHARES (NEW YORK) - CAPITAL MARKETS, LLC

ISI CAPITAL, LLC

BNP PARIBAS SECURITIES CORP.

BNP PARIBAS INVESTMENT SERVICES, LLC

SANTANDER INVESTMENT SECURITIES INC.

YAMAICHI INTERNATIONAL (AMERICA) INC.

CITIGROUP GLOBAL MARKETS INC.

DAVID LERNER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/2021

Series 7TO

Date: 10/18/2021

SIE

Date: 9/24/2021

Series 7

Date: 12/13/2006

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

BTIG, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BTIG, LLC

TRUST BUT VERIFY

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