David A. Barnett

OPTIMX SECURITIES LLC

westport, CT 06880

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CRD#: 4478679

Professional summary

David Allen Barnett, who also goes by Dave Allen Barnett, is a registered financial professional currently at OPTIMX SECURITIES LLC located in Westport, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 2002. David has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Allen Barnett

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 Allen Barnett'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

April 20, 2021 - Present

OPTIMX SECURITIES LLC

Office #1: 101 Franklin Street Suite 4, Westport, CT 06880Office #2: 101 Franklin Street Suite 4, Westport, CT 06880

CRD#: 290963

westport, CT

Past

August 11, 2017 - May 6, 2019

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

May 1, 2017 - August 17, 2017

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852

NEW YORK, NY

Past

May 5, 2012 - May 1, 2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

NEW YORK, NY

Past

July 6, 2007 - May 21, 2012

PULSE TRADING, INC.

CRD#: 104022

NEW YORK, NY

Past

October 18, 2006 - June 22, 2007

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

August 5, 2002 - January 27, 2005

HARBORSIDE SECURITIES, LLC

CRD#: 114053

NEW YORK, NY

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

California
(4/20/2021)

Colorado
(4/17/2025)

Connecticut
(4/17/2025)

Florida
(8/27/2025)

Georgia
(9/15/2025)

Illinois
(10/27/2025)

Iowa
(4/17/2025)

Kansas
(8/25/2025)

Maryland
(10/15/2025)

Massachusetts
(4/28/2025)

Minnesota
(8/25/2025)

Missouri
(8/12/2025)

Nevada
(4/17/2025)

New Jersey
(7/25/2022)

New York
(8/25/2025)

North Carolina
(8/25/2025)

Ohio
(7/11/2025)

Pennsylvania
(4/24/2025)

South Carolina
(8/25/2025)

Tennessee
(9/16/2025)

Virginia
(7/1/2025)

Washington
(9/19/2025)

Wisconsin
(4/17/2025)

Exams

State Security Law Exam

Series 63

Date: 10/7/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OPTIMX SECURITIES LLC

OPTIMX SECURITIES LLC | SURFTRADE LLC

CRD#: 290963 / SEC#: , 8-70041

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

101 Franklin Street Suite 4, Westport, CT 06880

Mailing Address

101 Franklin Street Suite 4, Westport, CT 06880

Phone number

(310) 907-6370

Established

Nevada since 12/01/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OPTIMX MARKETS	OWNER
BARNETT, DAVID ALLEN	CEO	4478679
LEGAYE, DANIEL EUGENE SR	FINOP	1055035
MARTEL, LAWRENCE GILBERT	CCO	2177025

Red Flags

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

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Firm Stability Insights

David A. Barnett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Allen Barnett's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTINET, LLC

STATE STREET GLOBAL MARKETS, LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

PULSE TRADING, INC.

COWEN EXECUTION SERVICES LLC

HARBORSIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2003

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2002

Series 24

Date: 1/2/2023

FINRA

Current Firm

OPTIMX SECURITIES LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OPTIMX SECURITIES LLC

TRUST BUT VERIFY

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