DZ
David Zies
ROBINHOOD FINANCIAL
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 6952981
DZ
Professional summary
David Zies, who also goes by David Joseph Zies, David Zies, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida and ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Joseph Zies | David Zies
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.
CRS (Client Relationship Summary) - BD
Click below to view David Zies'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®
NoneExperience
Current
January 5, 2022 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746BD
CRD#: 165998
Lake Mary, FL
Current
January 3, 2025 - Present
ROBINHOOD SECURITIES, LLC
Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746BD
CRD#: 287900
Lake Mary, FL
Past
July 6, 2018 - December 8, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
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
Alabama(3/22/2024)
RR
Alaska(3/22/2024)
RR
Arizona(3/22/2024)
RR
Arkansas(3/22/2024)
RR
California(3/22/2024)
RR
Colorado(1/5/2022)
RR
Connecticut(3/22/2024)
RR
Delaware(3/22/2024)
RR
District of Columbia(3/22/2024)
RR
Florida(3/22/2024)
RR
Georgia(3/22/2024)
RR
Hawaii(3/22/2024)
RR
Idaho(3/22/2024)
RR
Illinois(3/22/2024)
RR
Indiana(3/22/2024)
RR
Iowa(3/22/2024)
RR
Kansas(3/22/2024)
RR
Kentucky(3/22/2024)
RR
Louisiana(3/22/2024)
RR
Maine(3/22/2024)
RR
Maryland(3/22/2024)
RR
Massachusetts(3/22/2024)
RR
Michigan(3/22/2024)
RR
Minnesota(3/22/2024)
RR
Mississippi(3/22/2024)
RR
Missouri(3/22/2024)
RR
Montana(3/22/2024)
RR
Nebraska(3/22/2024)
RR
Nevada(3/22/2024)
RR
New Hampshire(3/22/2024)
RR
New Jersey(3/22/2024)
RR
New Mexico(3/22/2024)
RR
New York(3/22/2024)
RR
North Carolina(3/22/2024)
RR
North Dakota(3/22/2024)
RR
Ohio(3/22/2024)
RR
Oklahoma(3/22/2024)
RR
Oregon(3/22/2024)
RR
Pennsylvania(3/22/2024)
RR
Puerto Rico(3/22/2024)
RR
Rhode Island(3/22/2024)
RR
South Carolina(3/22/2024)
RR
South Dakota(3/22/2024)
RR
Tennessee(3/22/2024)
RR
Texas(3/22/2024)
RR
Utah(3/22/2024)
RR
Vermont(3/22/2024)
RR
Virgin Islands(3/22/2024)
RR
Virginia(3/22/2024)
RR
Washington(3/22/2024)
RR
West Virginia(3/22/2024)
RR
Wisconsin(3/22/2024)
RR
Wyoming(3/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
ROBINHOOD SECURITIES, LLC
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 10/27/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
