David R. Zimm
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 Rosenthal Zimm, who also goes by David R Zimm, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2013 - November 27, 2013
QUASAR TRADING, LLC
April 28, 2006 - April 19, 2011
ECHOTRADE LLC
February 27, 2004 - May 25, 2004
TRILLIUM BROKERAGE SERVICES, LLC
August 16, 2002 - December 17, 2003
SCHONFELD SECURITIES, LLC
July 17, 2001 - September 10, 2002
RUMSON CAPITAL, LLC
July 26, 1999 - July 18, 2001
SCHONFELD SECURITIES, LLC
April 16, 1998 - July 19, 1999
DIRKS & COMPANY, INC.
August 7, 1997 - February 14, 1998
WISE CHOICE DISCOUNT BROKERAGE, INC.
April 1, 1997 - July 31, 1997
SECURITIES SERVICE NETWORK, LLC
February 20, 1997 - April 8, 1997
CASTLE SECURITIES CORP.
August 13, 1996 - February 18, 1997
FAB SECURITIES OF AMERICA, INC.
July 30, 1992 - December 16, 1994
ROBERT THOMAS SECURITIES, 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: 9/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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