David D. Sicher

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CRD#: 423209

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 Dudley Sicher was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1970. David had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 5, PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2016 - June 16, 2017

CROSS POINT CAPITAL LLC

CRD#: 136223

NEW YORK, NY

Past

February 22, 2010 - January 5, 2016

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

August 26, 2009 - February 18, 2010

AURORA CAPITAL LLC

CRD#: 37924

BRIDGEHAMPTON,, NY

Past

December 10, 1997 - July 11, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 22, 1994 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

September 16, 1977 - December 27, 1983

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 13, 1977 - January 7, 1994

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

January 2, 1970 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/19/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/2/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/21/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 8/29/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/22/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 11/27/1978

Registered Principal Examination

Current Firm

CROSS POINT CAPITAL LLC

CROSS POINT CAPITAL LLC | STRUCTURED AND ALTERNATIVE SECURITIES LLC

CRD#: 136223 / SEC#: , 8-66989

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

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Contact information

Main Address

809 Broadway Fl 8, New York, NY 10003

Mailing Address

809 Broadway Fl 8, New York, NY 10003

Phone number

(917) 442-9202

Established

Delaware since 05/11/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BALACHANDER, KRISHNA KARTHIK	CO-PRESIDENT, CO-CCO - TRADING	5679490
ISLAMOV, ILIAS ABDOUSALAMOVITCH	CEO, CO-PRESIDENT, CO-CCO, MEMBER	4963410
NIXON, JON ALAN	PRINCIPAL FINANCIAL OFFICER/PER DIEM FINOP	4710715

Disclosures

Regulatory Event

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.

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Firm Stability Insights

David D. Sicher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COWEN AND COMPANY

AURORA CAPITAL LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

SALOMON BROTHERS INC.

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/1980

SIE

Date: 6/16/2017

Series 3

Date: 3/2/2015

Series 5

Date: 10/21/1981

PC

Date: 8/29/1977

Series 1

Date: 12/22/1969

Series 40

Date: 11/27/1978

Current Firm

CROSS POINT CAPITAL LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CROSS POINT CAPITAL LLC

TRUST BUT VERIFY

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