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DB

David Batista

Some features on this profile are disabled
CRD#: 2715144
DB

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 Batista was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 20, 2017 - October 31, 2019

NOVA CAPITAL SOLUTIONS, LLC

BD
CRD#: 174636
Wilton, CT
Past

July 18, 2016 - January 11, 2017

IQ CAPITAL (USA) LLC

BD
CRD#: 283405
NEW YORK, NY
Past

January 11, 2011 - December 9, 2014

NEAR EARTH, LLC

BD
CRD#: 126041
NEW YORK, NY
Past

October 14, 2009 - December 7, 2010

JOHN CARRIS INVESTMENTS LLC

BD
CRD#: 145767
HOBOKEN, NJ
Past

September 16, 2008 - October 13, 2009

TRADEDESK FINANCIAL CORP.

BD
CRD#: 133707
NEW YORK CITY, NY
Past

January 13, 2005 - August 11, 2008

STREETCAPITAL, INC

BD
CRD#: 104034
NEW YORK, NY
Past

July 30, 1999 - January 22, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

July 6, 1999 - July 28, 1999

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
Past

June 7, 1999 - June 30, 1999

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

March 21, 1997 - June 7, 1999

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

April 2, 1996 - February 18, 1997

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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: 6/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/10/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/1/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2005
General Securities Principal Examination

Current Firm

NC
NOVA CAPITAL SOLUTIONS, LLC
NOVA CAPITAL SOLUTIONS, LLC

CRD#: 174636 / SEC#: , 8-69575

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

Main Address
2125 E. Atlantic Boulevard, Pompano Beach, FL 33062
Mailing Address
2125 E. Atlantic Boulevard, Pompano Beach, FL 33062
Phone number
(954) 663-9200
Established
Florida since 10/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 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#
UMHAFER, NEILSHAREHOLDER
KERSEY, KRISTA ANNPRESIDENT/CEO, CHIEF COMPLIANCE OFFICER1864116
COLOMBO, DOUGLASFINOP1858351
MEADOWS, CHRISTOPHER MATTHEWMANAGING DIRECTOR, COMPLIANCE OFFICER2315300

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

NOVA CAPITAL SOLUTIONS, LLC

CRD#: 174636

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