David A. Shiffman
Professional summary
David Alan Shiffman is a registered financial professional currently at SOLOMON PARTNERS SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Alan Shiffman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2012 - Present
SOLOMON PARTNERS SECURITIES, LLC
Office #1: 1251 Avenue Of Americas 32nd Floor, New York, NY 10020Office #2: 1251 Avenue Of The Americas 32nd Floor, New York, NY 10020April 2, 2012 - May 15, 2012
MORPHEUS SECURITIES LLC
April 9, 2009 - February 1, 2012
MILLER BUCKFIRE & CO., LLC
May 17, 1998 - March 23, 2009
GOLDMAN SACHS & CO. LLC
November 28, 1997 - May 4, 1998
CITIGROUP GLOBAL MARKETS INC.
September 27, 1994 - May 4, 1998
SALOMON BROTHERS 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
(6/25/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SOLOMON PARTNERS SECURITIES, LLC
CRD#: 28041 / SEC#: , 8-43369
Contact information
FINRA licenses (34 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
