David J. Depalma
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 James Depalma was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2020 - January 17, 2023
DE PAOLA TRADING, INC.
January 25, 2017 - July 29, 2019
DIVINE CAPITAL MARKETS LLC
September 18, 2014 - November 29, 2016
DIVINE CAPITAL MARKETS LLC
July 28, 2014 - July 29, 2014
LEK SECURITIES CORPORATION
July 1, 2014 - October 27, 2017
DE PAOLA TRADING, INC.
May 5, 2014 - June 2, 2014
DE PAOLA TRADING, INC.
June 28, 2004 - May 9, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 9, 2003 - November 5, 2003
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
DE PAOLA TRADING, INC.
CRD#: 143625 / SEC#: , 8-67586
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEPAOLA, PETER JULIAN | PRES/SECY/TREAS/DIR | |
| KRIM, ALAN MITCHELL | CFO/FINOP/COO | 2785337 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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