David J. Barone
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 Joseph Barone was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 7 firms and has passed the Series 63, SIE, Series 3, 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
January 18, 2011 - March 19, 2015
TFS DERIVATIVES LLC
June 24, 2010 - January 3, 2011
ICE EXECUTION SERVICES, LLC
April 14, 2009 - May 11, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
October 1, 2007 - April 3, 2009
CANACCORD GENUITY SECURITIES LLC
December 14, 2005 - October 1, 2007
LINKBROKERS DERIVATIVES LLC
June 4, 2001 - December 1, 2005
CCM SECURITIES, LLC
May 18, 1999 - November 18, 1999
I-BANKERS SECURITIES, INC.
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: 8/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
TFS DERIVATIVES LLC
CRD#: 30395 / SEC#: , 8-44903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | OWNER | |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | |
| MEHAN, JEFFREY LELAND | PRESIDENT | 1053445 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER | 3154976 |
| RICCIARDI, JUDITH ANN | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER & COO | |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 2 |
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.
