David N. Gardner
Professional summary
David Neal Gardner is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 3 firms and has passed the Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Neal Gardner's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2019 - Present
CTC, LLC
Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605Office #2: 425 S. Financial Place 4th Floor, Chicago, IL 60605January 2, 2014 - September 18, 2018
VIRTU AMERICAS LLC
July 14, 2008 - January 2, 2014
OCTEG, 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 ExamSeries 55
Date: 8/26/2009
Limited Representative-Equity Trader ExamCboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
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.
