David M. Mccubbins
Professional summary
David Michael Mccubbins, who also goes by Dave Mccubbins, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in St. Louis, Missouri.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 31, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Michael Mccubbins's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2012 - Present
NEWEDGE SECURITIES, LLC
Office #1: 10777 Sunset Hills Office Drive Suite 315b, St. Louis, MO 63127October 1, 2011 - February 29, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
May 2, 2008 - September 30, 2011
SUNGARD INSTITUTIONAL BROKERAGE INC.
April 2, 2008 - May 7, 2008
SCOTTRADE, INC.
August 29, 2007 - November 13, 2007
LPL FINANCIAL LLC
July 18, 2000 - May 1, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 18, 2000 - August 2, 2000
EDWARD JONES
June 15, 1999 - January 6, 2000
HUNTLEIGH SECURITIES CORPORATION
January 1, 1999 - May 10, 1999
MORGAN STANLEY DW 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
(2/18/2015)
(5/1/2012)
(8/13/2015)
(3/17/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/7/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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