David M. Kessler

ROBOTTI SECURITIES

New York, NY 10017

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CRD#: 3026885

Professional summary

David Michael Kessler is a registered financial professional currently at ROBOTTI SECURITIES, 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 4 firms and has passed the Series 63, Series 65, SIE, Series 86, Series 87, Series 7, Series 55 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view David Michael Kessler's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 9, 2009 - Present

ROBOTTI SECURITIES, LLC

Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017

CRD#: 13251

New York, NY

Past

March 16, 2001 - September 5, 2006

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

May 17, 2000 - August 31, 2006

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

April 24, 1998 - May 5, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/1/2011)

Maryland
(7/23/2010)

New York
(1/1/2010)

Exams

State Security Law Exam

Series 63

Date: 12/28/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/12/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 1/26/2010

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 1/8/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 1/16/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 31

Date: 5/15/1998

Futures Managed Funds Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROBOTTI SECURITIES, LLC

ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC

CRD#: 13251 / SEC#: , 8-28886

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

125 Park Avenue, Suite 1607, New York, NY 10017

Mailing Address

125 Park Avenue, Suite 1607, New York, NY 10017

Phone number

(212) 986-4800

Established

New York since 03/07/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ROBOTTI & COMPANY, INCORPORATED	STOCKHOLDER 100% OWNER OF APPLICANT
KELLEHER, DENNIS MICHAEL	CHIEF COMPLIANCE OFFICER	2107342
MCQUEENEY, DAVID VINCENT	SROP, ROP	2440806
MEVORAH, ERWIN I	CFO, FIN/OP & SECRETARY	1944735
ROBOTTI, ROBERT EDWARD	PRESIDENT, CEO, GSP, TREASURER	732905
ROBOTTI, SUZANNE BENSON	DIRECTOR	4616454
SEKLIR, NANCY ELIZABETH	DIRECTOR	1756843
WASIAK, KENNETH RONALD	DIRECTOR	1485703

Disclosures

Regulatory Event

Red Flags

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David M. Kessler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Michael Kessler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2009

Series 65

Date: 5/12/1998

SIE

Date: 10/1/2018

Series 86

Date: 1/26/2010

Series 87

Date: 1/8/2010

Series 7

Date: 12/8/2009

Series 55

Date: 1/16/2001

Series 31

Date: 5/15/1998

FINRA

Nasdaq Stock Market

Current Firm

ROBOTTI SECURITIES, LLC

Contact information

FINRA licenses (32 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBOTTI SECURITIES, LLC

TRUST BUT VERIFY

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