David S. Gaffney
Professional summary
David Scott Gaffney, who also goes by Dave Gaffney, David Scott Gaffney, is a registered financial professional currently at MID ATLANTIC CLEARING & SETTLEMENT CORPORATION located in Pittsburgh, Pennsylvania.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Scott Gaffney's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2025 - Present
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
Office #1: 1251 Waterfront Place Suite 540, Pittsburgh, PA 15222December 20, 2023 - December 5, 2024
MUTUAL OF AMERICA SECURITIES LLC
April 20, 2011 - December 31, 2011
SUNGARD INSTITUTIONAL BROKERAGE INC.
July 12, 2006 - April 8, 2011
NEWPORT GROUP SECURITIES, INC.
January 21, 2003 - October 17, 2005
NEWPORT GROUP SECURITIES, INC.
May 30, 2000 - August 19, 2002
TRANSAMERICA SECURITIES SALES CORPORATION
May 14, 1996 - January 16, 1997
FIRST UNION BROKERAGE SERVICES, INC.
August 30, 1995 - November 9, 1995
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2025)
Exams
Series 6TO
Date: 11/22/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
CRD#: 37466 / SEC#: , 8-47758
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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