David C. Ginsberg
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 Craig Ginsberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2014 - November 12, 2014
INTERNATIONAL CORRESPONDENT TRADING, INC.
March 23, 2011 - June 30, 2014
CHIMERA SECURITIES, LLC
December 10, 2007 - January 19, 2010
TAFFERER TRADING, LLC
February 3, 2006 - January 24, 2007
TAFFERER TRADING, LLC
July 2, 2004 - February 3, 2006
KNIGHT CAPITAL AMERICAS, L.P.
March 24, 1998 - July 8, 2005
KNIGHT CAPITAL MARKETS 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: 12/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
INTERNATIONAL CORRESPONDENT TRADING, INC.
CRD#: 37401 / SEC#: , 8-47724
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
