David A. Macri
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 Anthony Macri was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 11 firms and has passed the Series 63, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2011 - July 10, 2012
W.A. CAPITAL MARKETS
May 31, 2007 - April 1, 2011
DASH FINANCIAL TECHNOLOGIES LLC
April 18, 2005 - June 1, 2007
Z&Z SECURITIES INC.
November 2, 2004 - April 18, 2005
HLA SECURITIES INC
July 12, 2001 - April 18, 2005
J.H. BROOKS & CO., INC.
October 1, 2000 - July 11, 2001
THE GRISWOLD COMPANY, INCORPORATED
October 11, 1999 - June 22, 2000
BNY MELLON SECURITIES LLC
March 9, 1999 - August 24, 1999
LYNCH, JONES & RYAN LLC
February 20, 1995 - March 19, 1999
ROCHDALE SECURITIES LLC
September 23, 1991 - October 18, 1994
PERSHING LLC
July 2, 1991 - August 12, 1991
HIBBARD BROWN & CO., INC.
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: 3/21/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 12/11/2001
NYSE Trading Assistant ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
