David A. Proctor
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 Anthony Proctor was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 6 firms and has passed the Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - March 18, 2019
JANE STREET EXECUTION SERVICES, LLC
May 13, 2011 - March 18, 2019
JANE STREET OPTIONS, LLC
June 1, 2009 - January 21, 2010
JANE STREET SPECIALISTS, LLC
September 25, 2007 - February 17, 2015
JANE STREET MARKETS, LLC
March 21, 2006 - June 1, 2009
JANE STREET SPECIALISTS, LLC
March 21, 2006 - January 21, 2010
JANE STREET TRADING, LLC
March 21, 2006 - February 18, 2021
JANE STREET CAPITAL, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/20/2010
Limited Representative-Equity Trader ExamCurrent Firm
JANE STREET EXECUTION SERVICES, LLC
CRD#: 167280 / SEC#: , 8-69254
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANE STREET GROUP, LLC | MEMBER | |
| BELLIOTTI, ANGELO | CHIEF COMPLIANCE OFFICER | 6617066 |
| BERGER, MATTHEW ROBERT | OPERATING COMMITTEE MEMBER | 4714455 |
| HARRISON, MARIE ELIZABETH | PRINCIPAL FINANCIAL OFFICER | 4621035 |
| ROY, ANDREAS TORBJOERN | OPERATING COMMITTEE MEMBER/PRESIDENT | 6344770 |
| WALSH, PATRICK J. | PRINCIPAL OPERATIONS OFFICER | 4786045 |
| ZGALJIC, DAVOR | OPERATING COMMITTEE MEMBER | 4819565 |
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.
