DD
David C. Dulberg
SG AMERICAS SECURITIES
NEW YORK, NY 10167
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CRD#: 7190875
DD
Professional summary
David Charles Dulberg is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2020. David has worked at 4 firms and has passed the Series 63, Series 79TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view David Charles Dulberg'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
October 31, 2023 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167BD
CRD#: 128351
NEW YORK, NY
Past
July 25, 2023 - October 20, 2023
SCOTIA CAPITAL (USA) INC.
BD
CRD#: 2739
NEW YORK, NY
Past
January 7, 2022 - July 28, 2023
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
October 12, 2021 - January 2, 2022
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
February 21, 2020 - October 14, 2021
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
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
Alabama(10/31/2023)
RR
Alaska(10/31/2023)
RR
Arizona(10/31/2023)
RR
Arkansas(10/31/2023)
RR
California(10/31/2023)
RR
Colorado(10/31/2023)
RR
Connecticut(10/31/2023)
RR
Delaware(10/31/2023)
RR
District of Columbia(10/31/2023)
RR
Florida(10/31/2023)
RR
Georgia(10/31/2023)
RR
Hawaii(10/31/2023)
RR
Idaho(10/31/2023)
RR
Illinois(10/31/2023)
RR
Indiana(10/31/2023)
RR
Iowa(10/31/2023)
RR
Kansas(10/31/2023)
RR
Kentucky(10/31/2023)
RR
Louisiana(10/31/2023)
RR
Maine(10/31/2023)
RR
Maryland(10/31/2023)
RR
Massachusetts(10/31/2023)
RR
Michigan(10/31/2023)
RR
Minnesota(10/31/2023)
RR
Mississippi(10/31/2023)
RR
Missouri(10/31/2023)
RR
Montana(10/31/2023)
RR
Nebraska(10/31/2023)
RR
Nevada(10/31/2023)
RR
New Hampshire(10/31/2023)
RR
New Jersey(10/31/2023)
RR
New Mexico(10/31/2023)
RR
New York(10/31/2023)
RR
North Carolina(10/31/2023)
RR
North Dakota(10/31/2023)
RR
Ohio(10/31/2023)
RR
Oklahoma(10/31/2023)
RR
Oregon(10/31/2023)
RR
Pennsylvania(10/31/2023)
RR
Puerto Rico(10/31/2023)
RR
Rhode Island(10/31/2023)
RR
South Carolina(10/31/2023)
RR
South Dakota(10/31/2023)
RR
Tennessee(10/31/2023)
RR
Texas(10/31/2023)
RR
Utah(10/31/2023)
RR
Vermont(10/31/2023)
RR
Virginia(10/31/2023)
RR
Washington(10/31/2023)
RR
West Virginia(10/31/2023)
RR
Wisconsin(10/31/2023)
RR
Wyoming(10/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 2/21/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SG AMERICAS SECURITIES, LLC
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 278-6000
Established
Delaware since 08/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 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.
