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DZ

David S. Zullin

Some features on this profile are disabled
CRD#: 2910623
DZ

Professional summary

David Scott Zullin was barred by the FINRA 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 2000. Prior to being barred, David had worked at 9 firms, which includes BROOKVIEW CAPITAL LLC, LEK SECURITIES CORPORATION, MARQUIS HOLDINGS INC., OSCAR GRUSS & SON INCORPORATED, LABRANCHE FINANCIAL SERVICES LLC, BAY CREST PARTNERS LLC, EAGLE RIDGE SECURITIES INC., BURLINGTON CAPITAL MARKETS INC., UBS FINANCIAL SERVICES INC..

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)

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 2, 2008 - June 26, 2012

BROOKVIEW CAPITAL LLC

BD
CRD#: 123335
WHITE PLAINS, NY
Past

July 26, 2005 - January 16, 2008

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

July 8, 2005 - January 19, 2012

MARQUIS HOLDINGS, INC.

BD
CRD#: 123621
NEW YORK, NY
Past

September 9, 2004 - July 7, 2005

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

May 12, 2004 - September 10, 2004

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

April 20, 2004 - August 27, 2004

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

June 3, 2003 - April 21, 2004

EAGLE RIDGE SECURITIES, INC.

BD
CRD#: 112353
NEW YORK, NY
Past

April 8, 2002 - April 22, 2004

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

January 24, 2000 - May 26, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 3/4/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/20/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 11/4/2003
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2000
General Securities Representative Examination

Current Firm

BC
BROOKVIEW CAPITAL LLC
BROOKVIEW CAPITAL LLC

CRD#: 123335 / SEC#: , 8-65580

BD
Terminated by SEC on 04/21/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/18/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COLANGELO, ROBERT MATTHEWCHAIRMAN, CEO, PRESIDENT-CCO2992427

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

BROOKVIEW CAPITAL LLC

CRD#: 123335

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