David I. Schiffman
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 Ian Schiffman, who also goes by David Ian Schiffman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2021 - April 14, 2022
BEECH HILL SECURITIES, INC.
March 12, 2020 - May 21, 2021
SAN BLAS SECURITIES LLC
September 19, 2019 - February 24, 2020
EMPIRE ASSET MANAGEMENT COMPANY
March 12, 2019 - July 31, 2019
DIVINE CAPITAL MARKETS LLC
September 20, 2017 - May 11, 2018
TIGRESS FINANCIAL PARTNERS, LLC
July 26, 2010 - July 18, 2017
LEBENTHAL & CO., LLC
May 1, 2001 - May 11, 2007
J.P. MORGAN SECURITIES INC.
November 7, 2000 - May 1, 2001
JPMSI
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/23/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 8/5/2003
NYSE Trading Assistant ExaminationCurrent Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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