David L. Currie
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 L Currie, who also goes by David Lamar Currie, 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, Series 7TO, Series 3, SIE 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
March 15, 2019 - May 4, 2020
TRADESTATION SECURITIES, INC.
September 14, 2018 - January 31, 2019
FLORIDA ATLANTIC SECURITIES CORP.
July 23, 2018 - January 31, 2019
FLORIDA ATLANTIC SECURITIES CORP.
October 3, 2016 - July 13, 2018
HARTFIELD, TITUS & DONNELLY, LLC
April 21, 2010 - September 23, 2016
SCOTTRADE, INC.
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: 3/29/2024
General Securities Representative ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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