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DR

David G. Richardson

G1 EXECUTION SERVICES
Bala Cynwyd, PA 19004
Some features on this profile are disabled
CRD#: 6744201
DR

Professional summary

David Gregory Richardson, who also goes by David Richardson, is a registered financial professional currently at G1 EXECUTION SERVICES, LLC located in Bala Cynwyd, Pennsylvania.

David is registered as a RR (Registered Representative) and started their career in finance in 2017. David has worked at 1 firm and has passed the SIE and Series 57 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Richardson

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 Gregory Richardson'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

March 22, 2017 - Present

G1 EXECUTION SERVICES, LLC

Office #1: 401 City Ave Suite 220, Bala Cynwyd, PA 19004
BD
CRD#: 111528
Bala Cynwyd, PA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 3/22/2017
Securities Trader Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GE
G1 EXECUTION SERVICES, LLC
E*TRADE CAPITAL MARKETS LLC | GVR COMPANY LLC | G1 EXECUTION SERVICES, LLC

CRD#: 111528 / SEC#: , 8-53174

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

Main Address
175 W. Jackson Blvd., Suite 1700, Chicago, IL 60604
Mailing Address
175 W. Jackson Blvd., Suite 1700, Chicago, IL 60604
Phone number
(312) 362-0404
Established
Illinois since 08/04/2000
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#
G1X HOLDINGS, LLCMEMBER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
GRAEFFE, JACK ALEXANDERPRESIDENT5138383
RORKE, BRIAN WALLACECHIEF COMPLIANCE OFFICER4475071

Disclosures

Regulatory Event34
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

G1 EXECUTION SERVICES, LLC

CRD#: 111528Bala Cynwyd, PA 19004

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