David S. Kranich
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 S Kranich, who also goes by David Kranich, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 31 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
January 8, 2007 - February 10, 2015
CREDIT AGRICOLE SECURITIES (USA) INC.
June 9, 2006 - September 18, 2006
COWEN SECURITIES LLC
September 3, 2004 - March 3, 2006
SCOTT & STRINGFELLOW, LLC
August 25, 2004 - March 3, 2006
SCOTT & STRINGFELLOW, LLC
February 14, 2003 - August 13, 2004
AURIA SERVICES CORP.
May 15, 2002 - November 14, 2002
ALLIANCEBERNSTEIN L.P.
May 29, 2001 - November 14, 2002
SANFORD C. BERNSTEIN & CO., LLC
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
August 15, 1994 - April 19, 2000
CITIGROUP GLOBAL MARKETS INC.
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 55
Date: 2/11/2004
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
Red Flags
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