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DF

David Filippidis

OSCAR GRUSS & SON
New York, NY 10022
Some features on this profile are disabled
CRD#: 6945214
DF

Professional summary

David Filippidis is a registered financial professional currently at OSCAR GRUSS & SON INCORPORATED located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2021. David has worked at 1 firm and has passed the Series 63, Series 7TO and SIE 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 Filippidis'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

June 5, 2021 - Present

OSCAR GRUSS & SON INCORPORATED

Office #1: 10 East 53rd Street 17th Floor, New York, NY 10022
BD
CRD#: 2091
New York, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/22/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/5/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/17/2021
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

OG
OSCAR GRUSS & SON INCORPORATED
CHURCHILL CAPITAL NY | OSCAR GRUSS & SON, INCORPORATED | OSCAR GRUSS & SON INCORPORATED | MAKOR OG NY

CRD#: 2091 / SEC#: , 8-22371

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

Main Address
10 East 53rd Street 17th Floor, New York, NY 10022
Mailing Address
10 East 53rd Street 17th Floor, New York, NY 10022
Phone number
(212) 419-4000
Established
New York since 10/03/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAKOR PARTNERS LIMITEDSHAREHOLDER
ANREDER, LAURA ELLENCHIEF EXECUTIVE OFFICER1325698
LANDAU, DANIELLECHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER / FINOP4671417

Disclosures

Regulatory Event26
Arbitration5
Judgment/Lien13

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

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091New York, NY 10022

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