David T. Chu
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 Taotze Chu, who also goes by David Tao Tze Chu, David Chu, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - December 5, 2012
GAGNON SECURITIES, LLC
April 22, 2011 - September 20, 2012
WELLS FARGO PRIME SERVICES, LLC
July 11, 2007 - December 9, 2009
SOMA ASSET MANAGEMENT LLC
August 31, 1994 - July 18, 1996
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
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 62
Date: 8/26/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
GAGNON SECURITIES, LLC
CRD#: 103727 / SEC#: 801-64836, 8-52218
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GAGNON, NEIL JOSEPH | MANAGER/CEO | |
| DREW, MAUREEN ONEILL | MEMBER | |
| GAGNON, BRIAN JOSEPH | MEMBER | |
| TAYLOR, WILLIS GITT | MEMBER | 4321965 |
| BEINSTEIN, HENRY CARL | MEMBER | 4584546 |
| CAPPELLO, JAMES MATTHEW | MEMBER | 4124259 |
| D'ALESSANDRO, MARIANNE | CHIEF FINANCIAL OFFICER | 5019195 |
| D'ALESSANDRO, MARIANNE | MEMBER | 5019195 |
| FERRANTE, LISA CATHERINE | MEMBER | 3135415 |
| FERRANTE, LISA CATHERINE | CROP/ROP | 3135415 |
| FERRANTE, LISA CATHERINE | CHIEF ADMINISTRATIVE OFFICER | 3135415 |
| FERRANTE, LISA CATHERINE | CHIEF COMPLIANCE OFFICER | 3135415 |
| GAROFALO, ADRIENNE MICHELLE | MEMBER | 2383265 |
| JAMPOLE, MATTHEW HOWARD | MEMBER | 3272478 |
| JILLA, SARAH G | MEMBER | 6239295 |
| LEE, DWIGHT EISENHOWER | MEMBER | |
| ROBERTS, CYNTHIA ANDREA | MEMBER | 2818779 |
| ROBOHM, JONATHAN WILLIAMS | MEMBER | 2933186 |
| TRANCHIDA, ALISON ANNE | OPERATIONS MANAGER | 4345426 |
| TRANCHIDA, ALISON O'BRIEN | MEMBER | 4345426 |
Regulatory assets under management
| Total Number of Accounts | 1,203 |
| AUM (Assets Under Management) | $ 545,317,238 |
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.
