David B. Mcallister
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 Blaine Mcallister, who also goes by David Blaine Mcallister, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 7 firms and has passed the Series 63, Series 55 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 18, 2011 - June 7, 2013
FIRST NEW YORK SECURITIES L.L.C.
July 27, 2010 - January 11, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 16, 2009 - August 4, 2010
COHEN & COMPANY SECURITIES, LLC
January 21, 2009 - May 26, 2009
BEDROK SECURITIES LLC
August 4, 2006 - April 29, 2008
BARCLAYS CAPITAL INC.
March 2, 2004 - August 18, 2005
UBS SECURITIES LLC
November 21, 1997 - February 25, 2004
BANC OF AMERICA SECURITIES LLC
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: 5/14/2007
Limited Representative-Equity Trader ExamCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
