David S. Marquart
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 Scott Marquart, who also goes by David S. Marquart, David Marquart, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7TO, Series 55 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
May 29, 2019 - April 3, 2024
CHECCHI CAPITAL ADVISERS, LLC
November 15, 2018 - November 11, 2020
ARBOR COURT CAPITAL, LLC
January 6, 2014 - July 30, 2014
QUAD CAPITAL, LLC
December 24, 2010 - December 17, 2013
FIRST NEW YORK SECURITIES L.L.C.
Primary Firm SEC Registration
CHECCHI CAPITAL ADVISERS, LLC
CRD#: 143478 / SEC#: 801-67727
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 7TO
Date: 11/11/2018
General Securities Representative ExaminationSeries 55
Date: 1/19/2011
Limited Representative-Equity Trader ExamCurrent Firm
CHECCHI CAPITAL ADVISERS, LLC
CRD#: 143478 / SEC#: 801-67727
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,198 |
| AUM (Assets Under Management) | $ 2,312,300,030 |
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.
