David J. Yom
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 Joseph Yom was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2016 - December 11, 2017
COMCAP HOLDINGS LLC
August 14, 2015 - July 28, 2016
J.P. MORGAN SECURITIES LLC
June 9, 2014 - August 19, 2015
NATIXIS SECURITIES AMERICAS LLC
November 12, 2012 - May 20, 2014
DEUTSCHE BANK SECURITIES INC.
December 23, 2008 - January 5, 2010
E*TRADE SECURITIES LLC
August 5, 2003 - November 19, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
COMCAP HOLDINGS LLC
CRD#: 283514 / SEC#: , 8-69759
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
