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DH

David M. Hudzik

Some features on this profile are disabled
CRD#: 2743466
DH

Professional summary

David Mark Hudzik was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, David had worked at 8 firms, which includes LEGEND SECURITIES INC., NEW YORK GLOBAL SECURITIES INC., VFINANCE INVESTMENTS INC, BLUESTONE CAPITAL CORP., TRADE.COM ONLINE SECURITIES INC., PURSHE KAPLAN STERLING INVESTMENTS, LCP CAPITAL CORP., NICHOLS SAFINA LERNER & CO. INC..

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

April 5, 2005 - July 7, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

May 22, 2003 - April 11, 2005

NEW YORK GLOBAL SECURITIES, INC.

BD
CRD#: 46429
NEW YORK, NY
Past

November 9, 2001 - June 4, 2003

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

April 2, 2001 - November 9, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

February 27, 2001 - March 28, 2001

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

January 5, 2001 - February 28, 2001

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ALBANY, NY
Past

January 26, 1998 - October 11, 2000

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

July 3, 1996 - January 29, 1998

NICHOLS, SAFINA, LERNER & CO. INC.

BD
CRD#: 35476
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: 7/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/7/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/1996
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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