David L. Fricchione
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 Lawrence Fricchione, who also goes by Dave Fricchione, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 7 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - May 21, 2012
QUAD CAPITAL, LLC
November 10, 2010 - September 19, 2011
TAFFERER TRADING, LLC
September 26, 2007 - January 21, 2009
MF GLOBAL INC.
April 2, 2007 - August 27, 2007
TAFFERER TRADING, LLC
March 23, 2005 - June 15, 2006
GENESIS SECURITIES, LLC
September 9, 2002 - April 10, 2003
GOLDMAN SACHS & CO. LLC
June 13, 2000 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 4, 2000 - May 17, 2000
HUDSON 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: 11/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
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.
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