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David W. Major

Some features on this profile are disabled
CRD#: 2297223
DM

Professional summary

David William Major 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 1996. Prior to being barred, David had worked at 5 firms, which includes GFI SECURITIES LLC, INTER-DEALER BROKERS LLC, CANTOR FITZGERALD & CO., MINT BROKERS, CANTOR FITZGERALD SECURITIES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wedge Major

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

December 1, 2003 - May 4, 2016

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

January 12, 2001 - January 17, 2001

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

January 12, 2001 - December 17, 2003

INTER-DEALER BROKERS LLC

BD
CRD#: 45502
NEW YORK, NY
Past

October 31, 2000 - December 20, 2000

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

February 14, 2000 - December 20, 2000

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

June 4, 1998 - February 14, 2000

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

January 24, 1996 - December 1, 1996

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

January 24, 1996 - December 20, 2000

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, 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: 2/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/1999
General Securities Principal Examination

Current Firm

GS
GFI SECURITIES LLC
12TH STREET CAPITAL, A DIVISION OF GFI SECURITIES LLC | SUNRISE BROKERS, A DIVISION OF GFI SECURITIES LLC | SUNRISE A DIVISION OF GFI SECURITIES | LATIUM, A DIVISION OF GFI SECURITIES LLC | GFI SECURITIES LLC | GFI GROUP, INC. | G.F.I. GROUP, INC. | FENICS-PM, A DIVISION OF GFI SECURITIES LLC | CAVENTOR CAPITAL, A DIVISION OF GFI SECURITIES LLC. | AUREL PARTNERS A DIVISION OF GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Water Street 10th Floor, New York, NY 10041
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(212) 968-2032
Established
New York since 07/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GFINET INC.SOLE MEMBER
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER3265633
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
HAUF, JASON WILLIAMSCHIEF FINANCIAL OFFICER4163331
LEWIS, THOMAS JOSEPHPRINCIPAL2684821
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
SULFARO, MICHAEL CARLCHIEF COMPLIANCE OFFICER2483562

Disclosures

Regulatory Event30

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.

Company Information

GFI SECURITIES LLC

CRD#: 19982

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