David L. Post
Professional summary
David Lawrence Post 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 1997. Prior to being barred, David had worked at 3 firms, which includes FIS BROKERAGE & SECURITIES SERVICES LLC, LADENBURG THALMANN & CO. INC., KNIGHT CAPITAL AMERICAS L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2005 - November 1, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
February 8, 2001 - January 31, 2002
LADENBURG THALMANN & CO. INC.
October 31, 1997 - February 6, 2001
KNIGHT CAPITAL AMERICAS, L.P.
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: 6/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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