David R. Lipton

MONNESS CRESPI HARDT & CO.

New York, NY 10017

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CRD#: 2353418

Professional summary

David Richard Lipton is a registered financial professional currently at MONNESS CRESPI HARDT & CO., INC. 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 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

February 6, 2001 - Present

MONNESS CRESPI HARDT & CO., INC.

Office #1: 767 Third Ave, New York, NY 10017Office #2: 767 Third Avenue, New York, NY 10017-2047

CRD#: 7424

New York, NY

Past

November 23, 1999 - March 6, 2000

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

July 14, 1998 - November 5, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

May 6, 1998 - June 3, 1998

BARINGTON CAPITAL GROUP, L.P.

CRD#: 29383

NEW YORK, NY

Past

June 9, 1993 - April 14, 1998

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

State Registrations and Notice Filings

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

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

Massachusetts
(11/22/2005)

New York
(2/6/2001)

Wisconsin
(11/22/2005)

Exams

State Security Law Exam

Series 63

Date: 6/24/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MONNESS CRESPI HARDT & CO., INC.

MONNESS CRESPI HARDT & CO., INC. | MONNESS, WILLIAMS, CRESPI & CO., INC.

CRD#: 7424 / SEC#: , 8-21380

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

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Contact information

Main Address

767 Third Avenue, New York, NY 10017-2047

Mailing Address

767 Third Avenue, New York, NY 10017-2047

Phone number

(212) 838-7575

Established

New York since 11/01/1996

Firm type

Other Types of Legal Formation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRESPI, NEIL STEVEN	PRESIDENT/ (CEO-EQUIVALENT)	857348
MONNESS, ANDREW JAMES	CHAIRMAN/FINOP	338145
BLANCO, WILLIAM JOHN	VICE PRESIDENT/FINOP	2759359
FERGUSON-MORAN, KAREN ANN	CCO	4669988

Disclosures

Regulatory Event

Red Flags

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David R. Lipton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Richard Lipton's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BARINGTON CAPITAL GROUP, L.P.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/8/1993

Series 24

Date: 4/19/2012

FINRA

Nasdaq Stock Market

Current Firm

MONNESS CRESPI HARDT & CO., INC.

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MONNESS CRESPI HARDT & CO., INC.

TRUST BUT VERIFY

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