David B. Cook
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 Benjamin Cook was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1974. David had worked at 12 firms and has passed the Series 63, Series 55, Series 7, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2011 - August 27, 2013
S. GOLDMAN CAPITAL LLC
February 29, 2008 - March 11, 2011
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 19, 2006 - December 31, 2006
US TRADING LLC
April 20, 2006 - November 21, 2006
G-2 TRADING,LLC
June 7, 2005 - June 5, 2006
US TRADING LLC
February 13, 1995 - January 2, 2007
CARLIN EQUITIES, LLC
March 31, 1993 - October 5, 1993
KERN, SUSLOW SECURITIES, INC.
April 3, 1984 - March 6, 1991
PERSHING LLC
January 19, 1981 - January 6, 1984
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 3, 1977 - March 26, 1979
WEEDEN & CO.
April 17, 1975 - March 14, 1977
NOMURA SECURITIES INTERNATIONAL, INC.
February 14, 1974 - April 25, 1975
EDWARDS & HANLY
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 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamPC
Date: 4/1/1981
AMEX Put and Call ExamSeries 000
Date: 2/7/1974
General Securities Principal ExaminationSeries 1
Date: 2/7/1974
Registered Representative ExaminationCurrent Firm
S. GOLDMAN CAPITAL LLC
CRD#: 145107 / SEC#: , 8-67702
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
