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DR

David C. Rowe

EASTGATE SECURITIES
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 2120586
DR

Professional summary

David Craig Rowe is a registered financial professional currently at EASTGATE SECURITIES, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, Series 82TO, SIE, Series 79, Series 55, Series 7, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Craig Rowe'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 4, 2023 - Present

EASTGATE SECURITIES, LLC

Office #1: 40 Wall Street Ste 2931, New York, NY 10005
BD
CRD#: 146671
NEW YORK, NY
Past

September 13, 2019 - July 12, 2022

LUCID CAPITAL MARKETS, LLC

BD
CRD#: 140345
New York, NY
Past

July 2, 2019 - September 24, 2019

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

April 23, 2018 - August 6, 2018

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

April 1, 2009 - February 4, 2011

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
MERRICK, NY
Past

March 5, 2007 - June 14, 2007

SPECTRUM TRADING, LLC

BD
CRD#: 132637
NEW YORK, NY
Past

October 26, 2004 - January 24, 2005

INTEGRITY TRADING, INC.

BD
CRD#: 104236
NEW YORK, NY
Past

July 31, 2002 - March 18, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

May 21, 1999 - April 29, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

June 5, 1997 - September 12, 1997

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

February 5, 1997 - April 21, 1997

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

April 13, 1993 - May 21, 1993

H G I

BD
CRD#: 14079
JERICHO, NY
Past

February 18, 1992 - July 16, 1992

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 14, 1992 - March 3, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 25, 1991 - January 1, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
New York
(12/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/25/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/9/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 10/7/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/23/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 9/21/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/4/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/21/2025
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EASTGATE SECURITIES, LLC
EASTGATE SECURITIES, LLC | J. STREICHER CAPITAL LLC | J. STREICHER CAPITAL

CRD#: 146671 / SEC#: , 8-67837

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

Main Address
40 Wall Street Ste 2931, New York, NY 10005
Mailing Address
40 Wall Street Suite 2931, New York, NY 10005
Phone number
(212) 372-7533
Established
Delaware since 07/20/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAO, ANGELINA QINOWNER / CEO/CFO
EASTGATE FUNDSMINORITY OWNER
ONESTO, RICHARD ERNESTFINOP2453096
POLLARD, DONALD ROBERTCCO2181631

Disclosures

Regulatory Event2

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.

Company Information

EASTGATE SECURITIES, LLC

CRD#: 146671New York, NY 10005

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