David L. Shields

GFI SECURITIES LLC

New York, NY 10041

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CRD#: 3275938

Professional summary

David Lawrence Shields, who also goes by David Lawrence Shields, is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.

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, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Lawrence Shields

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 Lawrence Shields'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

May 17, 2023 - Present

GFI SECURITIES LLC

Office #1: 55 Water Street 10th Floor, New York, NY 10041

CRD#: 19982

New York, NY

Past

June 19, 2012 - May 30, 2023

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

March 26, 2012 - March 29, 2012

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

December 2, 2010 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

December 3, 2007 - December 14, 2010

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

March 2, 2007 - November 30, 2007

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

September 13, 1999 - July 1, 2002

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

August 16, 1999 - September 2, 1999

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

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

New York
(5/17/2023)

Exams

State Security Law Exam

Series 63

Date: 5/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/27/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2007

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

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

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Contact information

Main Address

55 Water Street 10th Floor, New York, NY 10041

Mailing Address

55 Water Street 10th Floor, New York, NY 10041

Phone number

(212) 968-2032

Established

New York since 07/09/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GFINET INC.	SOLE MEMBER
ABULARRAGE, JOHN JOSEPH	CHIEF EXECUTIVE OFFICER	3265633
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
HAUF, JASON WILLIAMS	CHIEF FINANCIAL OFFICER	4163331
LEWIS, THOMAS JOSEPH	PRINCIPAL	2684821
LYNCH, MARTIN	CHIEF OPERATING OFFICER	5612726
SULFARO, MICHAEL CARL	CHIEF COMPLIANCE OFFICER	2483562

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David L. Shields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Shields's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANACCORD GENUITY LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY SECURITIES LLC

GFI SECURITIES LLC

W.A. CAPITAL MARKETS

SCHONFELD SECURITIES, LLC

J.P. TURNER & COMPANY, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/2011

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/27/2007

Series 7

Date: 8/13/1999

Series 24

Date: 10/22/2007

FINRA

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GFI SECURITIES LLC

TRUST BUT VERIFY

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