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DD

David V. Ditta

EZE CASTLE TRANSACTION SERVICES LLC
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 3184921
DD

Professional summary

David V Ditta, who also goes by David VIncent Ditta, is a registered financial professional currently at EZE CASTLE TRANSACTION SERVICES LLC located in Waltham, Massachusetts.

David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Vincent Ditta

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 V Ditta's 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

August 3, 2018 - Present

EZE CASTLE TRANSACTION SERVICES LLC

Office #1: 500 Totten Pond Road 2nd Floor, Waltham, MA 02451
BD
CRD#: 132246
Waltham, MA
Past

October 27, 2017 - April 12, 2018

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 15, 2008 - April 12, 2018

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

February 28, 2006 - April 8, 2008

EZE CASTLE TRANSACTION SERVICES LLC

BD
CRD#: 132246
WALTHAM, MA
Past

September 14, 2004 - June 15, 2005

HFP CAPITAL MARKETS LLC

BD
CRD#: 44351
NEW YORK, NY
Past

March 8, 2002 - September 1, 2004

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

April 13, 1999 - March 12, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(8/3/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 6/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/11/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/12/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EZE CASTLE TRANSACTION SERVICES LLC
EZE CASTLE TRANSACTION SERVICES LLC | EZE CASTLE TRANSACTION SERVICES, INC.

CRD#: 132246 / SEC#: , 8-66577

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
500 Totten Pond Road 2nd Floor, Waltham, MA, 02451
Mailing Address
500 Totten Pond Road 2nd Floor, Waltham, MA, 02451
Phone number
(617) 574-5459
Established
Delaware since 10/02/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EZE CASTLE SOFTWARE LLCMEMBER
DITTA, DAVID VMANAGER AND EXECUTIVE MANAGING DIRECTOR3184921
DOHERTY, JOSEPH MICHAELPRESIDENT4895292
DOHERTY, JOSEPH MICHAELMANAGER AND MANAGING DIRECTOR4895292
DOHERTY, JOSEPH MICHAELCHIEF COMPLIANCE OFFICER4895292
STUCKY, TODD DOUGLASFINOP1551348

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

EZE CASTLE TRANSACTION SERVICES LLC

CRD#: 132246Waltham, MA 02451

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