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DA

David Armes

LIVINGSTON SECURITIES
UNIONDALE, NY 11556
Some features on this profile are disabled
CRD#: 7717316
DA

Professional summary

David Armes is a registered financial professional currently at LIVINGSTON SECURITIES, LLC located in Uniondale, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2023. David has worked at 1 firm and has passed the Series 63, Series 79TO, Series 82TO 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 Armes's CRS (Customer Relationship Summary).
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

July 13, 2023 - Present

LIVINGSTON SECURITIES, LLC

Office #1: 626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556
BD
CRD#: 147364
UNIONDALE, 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
Florida
(8/4/2023)
RR
Indiana
(8/4/2023)
RR
New York
(7/13/2023)
RR
Texas
(8/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/17/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 5/21/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 11/23/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LIVINGSTON SECURITIES, LLC
LIVINGSTON SECURITIES, LLC

CRD#: 147364 / SEC#: , 8-67901

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

Main Address
626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556
Mailing Address
626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556
Phone number
(212) 520-8478
Established
New York since 10/10/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE LIVINGSTON GROUP OF COMPANIES, LLCSOLE MEMBER
LIVINGSTON, SCOTT BRANDONMANAGER/CEO/MSP/GSP/CROP1996617
ROCKMAN, JEANNE ELIZABETHCCO/GSP1255763
SCHILLING, MICHAEL JAMESFINOP, POO, PFO2609624

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

LIVINGSTON SECURITIES, LLC

CRD#: 147364Uniondale, NY 11556

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