David M. Vadala
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 Montgomery Vadala was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 21, Series 25 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2020 - March 7, 2024
J. STREICHER & CO. L.L.C.
October 3, 2017 - December 7, 2018
BRENDAN E. CRYAN AND COMPANY, L.L.C.
December 12, 2011 - October 2, 2017
VIRTU FINANCIAL CAPITAL MARKETS LLC
May 26, 2010 - January 19, 2012
COHEN CAPITAL GROUP, LLC
September 2, 1997 - August 28, 2009
LABRANCHE & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 21
Date: 3/28/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 11/3/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 4/20/2017
Compliance Official Specialist ExamCurrent Firm
J. STREICHER & CO. L.L.C.
CRD#: 3526 / SEC#: , 8-4342
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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