David Lessen
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 Lessen was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2012 - December 7, 2012
OLYMPUS SECURITIES, LLC
June 1, 2010 - October 20, 2010
KNIGHT LIBERTAS LLC
July 10, 2009 - April 9, 2010
GLEACHER & COMPANY SECURITIES, INC.
February 15, 2000 - November 17, 2008
UBS SECURITIES LLC
April 7, 1998 - July 9, 1999
ZURICH CAPITAL MARKETS SECURITIES, INC.
March 20, 1997 - May 14, 1998
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
OLYMPUS SECURITIES, LLC
CRD#: 114050 / SEC#: , 8-53392
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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