Giuseppe David
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.
Giuseppe David, who also goes by Joe David, Joseph David, was a registered financial professional .
Giuseppe is a previously registered financial professional and started their career in finance in 1994. Giuseppe had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 21, Series 25 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
November 14, 2000 - February 16, 2006
REDI GLOBAL TECHNOLOGIES LLC
March 8, 1999 - November 3, 2015
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 8, 1998 - January 13, 1999
LABRANCHE FINANCIAL SERVICES, LLC
October 23, 1996 - May 6, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1996 - September 9, 1996
PRESTON LANGLEY ASSET MANAGEMENT, INC.
August 17, 1994 - April 11, 1996
CONTINENTAL BROKER-DEALER CORP.
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 21
Date: 6/18/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 7/9/2001
NYSE Trading Assistant ExaminationCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
