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DR

David I. Rosenberg

LUCID CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2687902
DR

Professional summary

David Ira Rosenberg is a registered financial professional currently at LUCID CAPITAL MARKETS, 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 5 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

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 Ira Rosenberg'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

April 3, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022
BD
CRD#: 140345
New York, NY
Past

September 12, 2006 - March 27, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

March 18, 2004 - July 2, 2007

KBR CAPITAL MARKETS, LLC

BD
CRD#: 128800
NEW YORK, NY
Past

August 26, 2003 - April 26, 2004

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

September 19, 2001 - November 19, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 18, 2001 - September 2, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

December 11, 1995 - June 14, 2001

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/6/2024)
RR
California
(4/3/2024)
RR
Colorado
(4/3/2024)
RR
Connecticut
(4/3/2024)
RR
Delaware
(5/3/2024)
RR
District of Columbia
(4/3/2024)
RR
Florida
(4/3/2024)
RR
Illinois
(6/27/2024)
RR
Maine
(6/30/2025)
RR
Maryland
(4/3/2024)
RR
Massachusetts
(4/3/2024)
RR
New Jersey
(4/3/2024)
RR
New York
(4/3/2024)
RR
North Carolina
(4/3/2024)
RR
Ohio
(5/13/2024)
RR
Pennsylvania
(4/3/2024)
RR
South Carolina
(4/3/2024)
RR
Texas
(4/3/2024)
RR
Vermont
(5/9/2024)
RR
Virginia
(5/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1995
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/2/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/8/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/2/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/24/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

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

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10022

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