David W. Ormsby
Professional summary
David William Ormsby, who also goes by David W Ormsby, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Ormsby's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 200 Vesey Street 5th Fl And 6th Fl, New York, NY, 10281-1008October 5, 2009 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
March 15, 2004 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
June 29, 1998 - April 2, 2003
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
September 22, 1994 - June 3, 1996
S.G. WARBURG & CO. INC.
May 7, 1992 - October 12, 1994
BHF SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/11/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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