David E. Circle
Professional summary
David Eric Circle, who also goes by David Eric Circle, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Stamford, Connecticut.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 12 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Eric Circle's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 600 Summer St, Stamford, CT 06901August 10, 2021 - December 13, 2023
COWEN AND COMPANY
May 5, 2015 - February 10, 2022
COWEN PRIME SERVICES LLC
September 5, 2012 - June 10, 2014
MAXIM GROUP LLC
August 9, 2010 - March 22, 2012
LOUIS CAPITAL MARKETS, LLC
April 15, 2010 - July 30, 2010
SUMMIT SECURITIES GROUP LLC
January 2, 2008 - March 31, 2010
SRT SECURITIES LLC
January 2, 2007 - November 30, 2007
RBC CAPITAL MARKETS CORPORATION
September 14, 2005 - January 2, 2007
CARLIN EQUITIES, LLC
January 21, 2005 - September 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2005 - September 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2003 - November 19, 2004
MORGAN STANLEY DW INC.
December 21, 1992 - November 7, 2002
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2023)
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/13/2000
Limited Representative-Equity Trader ExamCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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