David H. Graichen
Professional summary
David Howard Graichen, who also goes by Dave Howard Graichen, David Graichen, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Howard Graichen's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2019 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119December 10, 2014 - November 8, 2018
SG AMERICAS SECURITIES, LLC
June 16, 2011 - December 10, 2014
NEWEDGE USA, LLC
February 28, 2011 - June 17, 2011
ACCESS SECURITIES, LLC
July 1, 2003 - October 19, 2010
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 29, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 14, 1999 - July 2, 1999
DEUTSCHE BANK SECURITIES INC.
October 26, 1998 - June 14, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 55
Date: 4/3/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
