David S. Mishkin
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 Mishkin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 3 firms and has passed the Series 63, 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
June 17, 2014 - July 11, 2017
SIMPLEX TRADING, LLC
March 6, 2012 - August 23, 2012
SIMPLEX TRADING, LLC
May 26, 2010 - September 13, 2011
TD AMERITRADE, INC.
February 9, 2010 - May 26, 2010
BELLEVUE CHICAGO, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIMPLEX TRADING, LLC
CRD#: 153585 / SEC#: , 8-68556
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
