David L. Morton
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 Lamb Morton, who also goes by David L Morton Jr, David L Morton, David Lamb Morton Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 12 firms and has passed the Series 63, SIE, 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
April 15, 2013 - April 23, 2015
NYLIFE SECURITIES LLC
May 6, 2011 - October 26, 2011
TRADE INFORMATICS LLC
April 2, 2009 - March 25, 2011
CABRERA CAPITAL MARKETS, LLC
August 21, 2008 - February 13, 2009
NOBLE CAPITAL MARKETS, INC.
October 2, 2007 - August 18, 2008
COWEN SECURITIES LLC
May 8, 2006 - September 19, 2007
W.R. HAMBRECHT + CO., LLC
March 18, 2003 - May 1, 2006
STEPHENS
August 12, 2002 - March 24, 2003
APEX CLEARING CORPORATION
May 20, 2002 - August 27, 2002
ROBERTSON STEPHENS, INC.
May 30, 2001 - May 10, 2002
COMMERZ MARKETS LLC
February 11, 1997 - May 29, 2001
ABN AMRO SECURITIES LLC
September 21, 1994 - November 26, 1996
GLEACHER & COMPANY SECURITIES, 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: 9/30/2008
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 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.
