David A. Krein
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 Abram Krein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - July 5, 2022
MARKETAXESS CORPORATION
July 9, 2013 - November 11, 2014
NASDAQ EXECUTION SERVICES, LLC
June 19, 2008 - June 28, 2012
CME BD SERVICES, INC.
August 1, 2006 - May 21, 2008
OBSIDIAN FINANCIAL GROUP, LLC
June 6, 2000 - May 15, 2006
TWENTY-FIRST SECURITIES CORPORATION
January 20, 1999 - May 23, 2000
UBS SECURITIES 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
Exams
Series 55
Date: 12/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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