David E. Zack
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Eric Zack, who also goes by David Zack, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2024 - February 4, 2026
STIFEL RESEARCH ADVISORY, LLC
January 14, 2021 - December 19, 2025
BRYAN GARNIER SECURITIES, LLC
August 28, 2017 - July 14, 2020
R. SEELAUS & CO., LLC
October 3, 2014 - June 30, 2016
SEAPORT GLOBAL SECURITIES LLC
October 12, 2012 - July 14, 2016
GHS TRADING LLC
June 18, 2012 - July 6, 2015
GLOBAL HUNTER SECURITIES, LLC
February 11, 2011 - June 12, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
February 28, 2002 - June 18, 2012
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
February 28, 2001 - November 13, 2001
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/31/2006
Limited Representative-Equity Trader ExamSeries 28
Date: 5/21/2021
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
STIFEL RESEARCH ADVISORY, LLC
CRD#: 327588 / SEC#:
Contact information
Red Flags
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