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DH

David J. Haubner

DRIVEWEALTH
New York, NY 10005
Some features on this profile are disabled
CRD#: 2666441
DH

Professional summary

David John Haubner is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 14 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David John Haubner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 6, 2022 - Present

DRIVEWEALTH, LLC

Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005Office #2: 28 Liberty Street 50th Floor, New York, NY 10005
BD
CRD#: 165429
New York, NY
Past

April 20, 2021 - December 17, 2025

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
New York, NY
Past

April 8, 2016 - April 16, 2021

GTS SECURITIES LLC

BD
CRD#: 149224
New York, NY
Past

December 4, 2013 - April 27, 2016

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 1, 2013 - November 27, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
NEW YORK, NY
Past

March 1, 2012 - May 7, 2013

OCTEG, LLC

BD
CRD#: 117429
NEW YORK, NY
Past

January 7, 2010 - July 1, 2013

GETCO SECURITIES, LLC

BD
CRD#: 151233
NEW YORK, NY
Past

January 5, 2009 - August 21, 2009

VDM CAPITAL MARKETS, LLC

BD
CRD#: 137874
NEW YORK, NY
Past

May 29, 2008 - September 12, 2008

RANGE GLOBAL LLC

BD
CRD#: 104393
RAMSEY, NJ
Past

May 12, 2008 - June 12, 2008

BETTERMENT SECURITIES

BD
CRD#: 47788
NEW YORK, NY
Past

January 2, 2008 - September 15, 2008

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

June 26, 2007 - January 9, 2008

PUNK, ZIEGEL & COMPANY, L.P.

BD
CRD#: 26174
NEW YORK, NY
Past

August 25, 2005 - May 22, 2007

BEAR WAGNER SPECIALISTS LLC

BD
CRD#: 32691
NEW YORK, NY
Past

June 19, 2003 - August 9, 2005

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

April 23, 2001 - May 12, 2003

BEAR WAGNER SPECIALISTS LLC

BD
CRD#: 32691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/11/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/29/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/8/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/22/2010
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm

DL
DRIVEWEALTH, LLC
DRIVEWEALTH, LLC | MYSOLOMEO, LLC

CRD#: 165429 / SEC#: , 8-69161

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
28 Liberty Street 50th Floor, New York, NY 10005
Mailing Address
28 Liberty Street 50th Floor, New York, NY 10005
Phone number
(973) 559-6750
Established
New Jersey since 05/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DRIVEWEALTH HOLDINGS, INC.SOLE MEMBER
BLANGIARDO, ALESSIOFINANCIAL & OPERATIONS PRINCIPAL5600541
ILARIO, ANTHONYCOO2262100
LAMKE, JAMES DANIELCHIEF COMPLIANCE OFFICER1418047
METZGER, BARRY SCOTTCHIEF EXECUTIVE OFFICER4719211
POND, ERICROSFP6069469
QUINONES, VINCENT JOSEPHHEAD OF EXECUTION SERVICES4308610

Disclosures

Regulatory Event1

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.

Company Information

DRIVEWEALTH, LLC

CRD#: 165429New York, NY 10005

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