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DL

David M. Levy

Some features on this profile are disabled
CRD#: 2255938
DL

Professional summary

David Michael Levy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, David had worked at 11 firms, which includes TITUS ROCKEFELLER LLC, IFS SECURITIES, NEWPORT COAST SECURITIES INC., WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, TASIN & COMPANY INC., TAYLOR STUART FINANCIAL INC., WALSH MANNING SECURITIES LLC, MONROE PARKER SECURITIES INC., BILTMORE SECURITIES INC., STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael David Levy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 7, 2013 - March 12, 2015

TITUS ROCKEFELLER, LLC

BD
CRD#: 43608
WELLINGTON, FL
Past

July 23, 2012 - December 19, 2012

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

July 22, 2008 - August 1, 2012

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
WEST PALM BEACH, FL
Past

June 22, 2007 - July 18, 2008

WEDBUSH SECURITIES INC.

BD
CRD#: 877
WELLINGTON, FL
Past

March 12, 2001 - June 25, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
WELLINGTON, FL
Past

April 1, 1999 - February 6, 2001

TASIN & COMPANY, INC.

BD
CRD#: 30709
HAUPPAUGE, NY
Past

June 11, 1998 - October 16, 1998

TAYLOR STUART FINANCIAL, INC.

BD
CRD#: 39025
GREAT NECK, NY
Past

March 7, 1996 - May 19, 1998

WALSH MANNING SECURITIES, LLC

BD
CRD#: 30826
Past

August 5, 1994 - March 20, 1996

MONROE PARKER SECURITIES, INC.

BD
CRD#: 31204
PURCHASE, NY
Past

January 5, 1993 - August 8, 1994

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL
Past

December 3, 1992 - January 7, 1993

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/1996
General Securities Principal Examination

Current Firm

TR
TITUS ROCKEFELLER, LLC
ROCKEFELLER CAPITAL PARTNERS, LLC | TR CAPITAL GROUP, LLC | TITUS ROCKEFELLER, LLC

CRD#: 43608 / SEC#: , 8-50333

BD
Cancelled by SEC on 06/14/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 07/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOYECK, RICHARD CHRISTOPHERCCO, AMLCO, MANAGING DIRECTOR, GSP, MEMBER, MSRB PRINCIPAL, FINOP (07/2011)842122
STOYECK, KATHRYN EMILYSHAREHOLDER7058090

Disclosures

Regulatory Event4
Arbitration1

Red Flags

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Company Information

TITUS ROCKEFELLER, LLC

CRD#: 43608

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