David G. Lowham
Professional summary
David Gordon Lowham is a registered financial professional currently at TAP SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 6 firms and has passed the Series 63, Series 79TO, Series 62, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Gordon Lowham's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2010 - Present
TAP SECURITIES LLC
Office #1: 505 Park Avenue Fl 9, New York, NY 10022July 19, 2001 - May 20, 2009
UBS SECURITIES LLC
December 18, 2000 - February 12, 2001
CREDIT SUISSE SECURITIES (USA) LLC
September 3, 1998 - December 18, 2000
PERSHING LLC
June 10, 1997 - September 4, 1997
PERSHING LLC
October 17, 1995 - October 22, 1996
GREENWICH PARTNERS, LLC
March 15, 1995 - September 19, 1995
HOULIHAN LOKEY CAPITAL, 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
(8/2/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TAP SECURITIES LLC
CRD#: 151593 / SEC#: , 8-68381
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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