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DS

David J. Strupp

LUCID CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2339158
DS

Professional summary

David John Strupp JR, who also goes by David John Strupp Jr., David John Strupp, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David John Strupp Jr. | David John Strupp

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) - BD

Click below to view David John Strupp JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 20, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022
BD
CRD#: 140345
New York, NY
Past

May 30, 2012 - March 19, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
New York, NY
Past

June 21, 2010 - May 25, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

July 13, 2009 - June 18, 2010

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

April 19, 2007 - November 25, 2008

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

May 17, 2002 - April 16, 2007

THINKEQUITY LLC

BD
CRD#: 44274
NEW YORK, NY
Past

November 12, 1999 - March 7, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 22, 1999 - June 24, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

April 9, 1998 - January 11, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 30, 1993 - April 15, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/13/2024)
RR
California
(5/13/2024)
RR
Connecticut
(3/20/2024)
RR
Florida
(5/13/2024)
RR
Illinois
(5/13/2024)
RR
Maryland
(5/13/2024)
RR
Massachusetts
(5/13/2024)
RR
New Jersey
(5/13/2024)
RR
New York
(3/20/2024)
RR
North Carolina
(5/13/2024)
RR
Ohio
(5/13/2024)
RR
Pennsylvania
(5/13/2024)
RR
Texas
(5/13/2024)
RR
Virginia
(5/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

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

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10022

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