David R. Simmons
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 Robert Simmons was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2011. David had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - August 15, 2013
TRADELINK L.L.C.
March 8, 2012 - September 18, 2012
RONIN CAPITAL, LLC
April 12, 2011 - August 23, 2011
RONIN CAPITAL, 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
Current Firm
TRADELINK L.L.C.
CRD#: 33831 / SEC#: , 8-42003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADELINK HOLDINGS L.L.C. | OWNER OF TRADELINK L.L.C. | |
| CORNELL, MONTGOMERY WILLIAM | PRESIDENT & COO | 1727670 |
| MOECKLER, HARLAN JAY | CFO & TREASURER. FINOP | 1243848 |
| REGAS, TERRY JOHN | DIRECTOR OF COMPLIANCE/CCO | 2258786 |
| RYAN, MICHAEL JOSEPH | SECRETARY | 1163469 |
| WEISSMAN, WALT KINGSTON | CO-CHAIRMAN | 2366386 |
| WOLF, STEVEN WESLEY | CO-CHAIRMAN | 2366375 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
