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DS

David K. Stolldorf

PRETIUM SECURITIES
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 5855574
DS

Professional summary

David Keith Stolldorf is a registered financial professional currently at PRETIUM SECURITIES, LLC located in Charlotte, North Carolina.

David is registered as a RR (Registered Representative) and started their career in finance in 2010. David has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Keith Stolldorf's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 2, 2023 - Present

PRETIUM SECURITIES, LLC

Office #1: 3530 Toringdon Way Suite 300, Charlotte, NC 28277
BD
CRD#: 321828
Charlotte, NC
Past

May 15, 2012 - June 6, 2018

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

December 13, 2010 - May 11, 2012

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/11/2010
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PRETIUM SECURITIES, LLC
PRETIUM SECURITIES, LLC

CRD#: 321828 / SEC#: , 8-71017

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 Columbus Circle 19th Floor, New York, NY 10023
Mailing Address
60 Columbus Circle 19th Floor, New York, NY 10023
Phone number
(917) 364-0512
Established
Delaware since 04/27/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PRETIUM SECURITIES HOLDCO, LLCSOLE MEMBER
JACKOWSKA, AGNIESZKA KATARZYNACHIEF FINANCIAL OFFICER4808266
MCDERMOTT, TARIK DAQUANEPRESIDENT & CHIEF COMPLIANCE OFFICER7722983

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.

Company Information

PRETIUM SECURITIES, LLC

CRD#: 321828Charlotte, NC 28277

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