David E. Zack

BRYAN GARNIER ADVISORY

New York, NY 10022-9827

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CRD#: 2356042

Professional summary

David Eric Zack, who also goes by David Zack, is a registered financial advisor currently at BRYAN GARNIER ADVISORY, LLC located in New York, New York and BRYAN GARNIER SECURITIES, LLC located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 55, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Zack

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) - RIA

Click below to view David Eric Zack's 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 1, 2024 - Present

BRYAN GARNIER ADVISORY, LLC

Office #1: 750 Lexington Avenue 16th Fl, New York, NY, 10022-9827

RIA

CRD#: 327588

New York, NY

Current

January 14, 2021 - Present

BRYAN GARNIER SECURITIES, LLC

Office #1: 750 Lexington Avenue 16th Floor, New York, NY 10022

CRD#: 152528

New York, NY

Past

August 28, 2017 - July 14, 2020

R. SEELAUS & CO., LLC

CRD#: 14974

Chatham, NJ

Past

October 3, 2014 - June 30, 2016

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

October 12, 2012 - July 14, 2016

GHS TRADING LLC

CRD#: 158195

NEW YORK, NY

Past

June 18, 2012 - July 6, 2015

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW YORK, NY

Past

February 11, 2011 - June 12, 2012

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

February 28, 2002 - June 18, 2012

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

CRD#: 8010

NEW YORK, NY

Past

February 28, 2001 - November 13, 2001

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(4/5/2022)

IAR

New York
(3/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/28/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/31/2006

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 28

Date: 5/21/2021

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BRYAN GARNIER ADVISORY, LLC

BRYAN GARNIER ADVISORY, LLC | STIFEL RESEARCH ADVISORY LLC

CRD#: 327588 / SEC#:

Maryland

Registered Investment Advisory firm - (7/27/2023 Terminated)

New York

Registered Investment Advisory firm - (3/1/2024 Approved)

Ohio

Registered Investment Advisory firm - (7/19/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

750 Lexington Avenue 16th Fl, New York, NY, 10022-9827

Mailing Address

Phone number

+1 (212) 337-7000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

David E. Zack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Eric Zack's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRYAN GARNIER SECURITIES, LLC

R. SEELAUS & CO., LLC

SEAPORT GLOBAL SECURITIES LLC

GHS TRADING LLC

GLOBAL HUNTER SECURITIES, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

KNIGHT CAPITAL AMERICAS, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2024

Series 63

Date: 6/6/2002

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/31/2006

Series 28

Date: 5/21/2021

Series 24

Date: 6/11/2001

FINRA

Current Firm

BRYAN GARNIER ADVISORY, LLC

Contact information

Documents

Red Flags

Company Information

BRYAN GARNIER ADVISORY, LLC

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