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DN

David M. Nicol

GLMX TECHNOLOGIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 7392768
DN

Professional summary

David Monro Nicol is a registered financial professional currently at GLMX TECHNOLOGIES, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2022. David has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 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 Monro Nicol'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

February 8, 2024 - Present

GLMX TECHNOLOGIES, LLC

Office #1: 666 3rd Avenue 32nd Fl, New York, NY, 10017
BD
CRD#: 289301
NEW YORK, NY
Past

November 7, 2022 - December 31, 2022

LEDGEREDGE SECURITIES, INC.

BD
CRD#: 314644
London,

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
(2/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/18/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GT
GLMX TECHNOLOGIES, LLC
GLMX TECHNOLOGIES LLC | GLMX TECHNOLOGIES, LLC

CRD#: 289301 / SEC#: , 8-69987

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

Main Address
666 3rd Avenue 32nd Fl, New York, NY, 10017
Mailing Address
666 3rd Avenue 32nd Fl, New York, NY, 10017
Phone number
(929) 445-6900
Established
Delaware since 06/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL LIQUID MARKETS, LLCMANAGING MEMBER
CARROLL, LAUREN DCAO, GENERAL COUNSEL5459835
GRAY, BRYAN HARRISONCHIEF COMPLIANCE OFFICER6535190
HAVLICEK, GLENN STEWARTCEO & CLO1798717
LAHOUD, MICHAELPRINCIPAL OPERATIONS OFFICER (POO)/ CFO/ FINOP/PFO6620329

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

GLMX TECHNOLOGIES, LLC

CRD#: 289301New York, NY 10017

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