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DB

David J. Barone

Some features on this profile are disabled
CRD#: 3091875
DB

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

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 18, 2011 - March 19, 2015

TFS DERIVATIVES LLC

BD
CRD#: 30395
NEW YORK, NY
Past

June 24, 2010 - January 3, 2011

ICE EXECUTION SERVICES, LLC

BD
CRD#: 146496
NEW YORK, NY
Past

April 14, 2009 - May 11, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

October 1, 2007 - April 3, 2009

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

December 14, 2005 - October 1, 2007

LINKBROKERS DERIVATIVES LLC

BD
CRD#: 123000
JERSEY CITY, NJ
Past

June 4, 2001 - December 1, 2005

CCM SECURITIES, LLC

BD
CRD#: 104457
CHICAGO, IL
Past

May 18, 1999 - November 18, 1999

I-BANKERS SECURITIES, INC.

BD
CRD#: 41352
BOCA RATON, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/23/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/16/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/17/1999
General Securities Representative Examination

Current Firm

TD
TFS DERIVATIVES LLC
ELIXIUM NA | TRADITION EQUITIES | TFS DERIVATIVES LLC | TFS DERIVATIVES CORPORATION

CRD#: 30395 / SEC#: , 8-44903

BD
Terminated by SEC on 11/16/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRADITION AMERICA HOLDINGS INC. ("TAH")OWNER
BRISEBOIS, FRANCOISMANAGER6613329
LEIBOWITZ, MICHAEL SAUL MR.MANAGER
MEHAN, JEFFREY LELANDPRESIDENT1053445
MEROLA, DAVID SCOTTCHIEF COMPLIANCE OFFICER3154976
RICCIARDI, JUDITH ANNPRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER2260346
ROSENSHEIN, LARRY NMNMANAGER & COO
WOSTYN, WILLIAM PIERREMANAGER5608164

Disclosures

Regulatory Event2

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.

Company Information

TFS DERIVATIVES LLC

CRD#: 30395

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