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DF

David S. Felman

GREIF & CO.
Los Angeles, CA 90071-2005
Some features on this profile are disabled
CRD#: 4226461
DF

Professional summary

David Samuel Felman is a registered financial professional currently at GREIF & CO. located in Los Angeles, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view David Samuel Felman'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

September 10, 2016 - Present

GREIF & CO.

Office #1: 633 West Fifth Street 65th Floor, Los Angeles, CA 90071-2005
BD
CRD#: 30345
Los Angeles, CA
Past

March 16, 2015 - April 27, 2016

TOR BROKERAGE LLC

BD
CRD#: 135274
NORTH BERGEN, NJ
Past

December 13, 2007 - October 21, 2014

MOELIS & COMPANY LLC

BD
CRD#: 145115
LOS ANGELES, CA
Past

September 14, 2007 - December 19, 2007

MERCANTI SECURITIES, LLC

BD
CRD#: 120967
LOS ANGELES, CA
Past

September 4, 2006 - July 20, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
LOS ANGELES, CA

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
California
(9/10/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

G&
GREIF & CO.
GREIF & CO.

CRD#: 30345 / SEC#: , 8-44862

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

Main Address
633 West Fifth Street 65th Floor, Los Angeles, CA 90071-2005
Mailing Address
633 West Fifth Street 65th Floor, Los Angeles, CA 90071-2005
Phone number
(213) 346-9255
Established
California since 04/24/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GREIF, LLOYDPRESIDENT & CEO & CCO1050449

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

GREIF & CO.

CRD#: 30345Los Angeles, CA 90071-2005

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