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DW

David L. Wetzstein

SUSQUEHANNA FINANCIAL GROUP, LLLP
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4715092
DW

Professional summary

David Lee Wetzstein, who also goes by David Lee Wetzstein Mr, is a registered financial professional currently at SUSQUEHANNA FINANCIAL GROUP, LLLP located in Stamford, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Lee Wetzstein Mr

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 Lee Wetzstein'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

July 14, 2010 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 263 Tresser Blvd Suite 1501, Stamford, CT 06901
BD
CRD#: 35865
Stamford, CT
Past

January 16, 2008 - June 22, 2010

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

June 1, 2006 - October 12, 2007

MARTIN ALLEN TRADING, LLC

BD
CRD#: 140680
SCARSDALE, NY
Past

February 1, 2005 - September 29, 2006

HEADLESS HORSEMAN TRADING, LLC

BD
CRD#: 126722
NEW YORK, NY
Past

February 24, 2004 - April 7, 2005

STUYVESANT TRADING GROUP, L.L.C.

BD
CRD#: 41718
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(10/8/2014)
RR
Connecticut
(7/14/2010)
RR
Illinois
(7/14/2010)
RR
Maryland
(7/14/2010)
RR
Massachusetts
(5/10/2019)
RR
Minnesota
(11/17/2010)
RR
New Jersey
(3/4/2014)
RR
New York
(7/14/2010)
RR
Texas
(2/10/2022)
RR
Utah
(2/10/2022)
RR
Washington
(7/14/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/8/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/24/2007
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
SUSQUEHANNA FINANCIAL GROUP, LLLP
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.

CRD#: 35865 / SEC#: , 8-44325

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(800) 825-9550
Established
Delaware since 07/25/2002
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SFG HOLDING, LLCLIMITED PARTNER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
KRASNICK, ALAN JONATHANMUNICIPAL SECURITIES PRINCIPAL4606571
MCENTEE, ROBERT FRANCIS JR.CHIEF COMPLIANCE OFFICER4722705
SFG PARTNER LLCGENERAL PARTNER
WOOD, NICHOLAS HPRESIDENT2626078

Disclosures

Regulatory Event12

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.

Company Information

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865Stamford, CT 06901

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