David S. Grayson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Stuart Grayson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 9 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 53, Series 12, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2005 - March 3, 2009
AXES, LLC
November 18, 1993 - July 24, 2024
AUERBACH GRAYSON & COMPANY LLC
January 25, 1993 - May 4, 1993
ABN AMRO INCORPORATED
January 9, 1990 - January 8, 1993
HENRY KRIEGER/DBI L.P.
January 9, 1989 - January 9, 1990
DISCOUNT BROKERS INTERNATIONAL, INC.
January 6, 1989 - April 17, 1989
HENRY KRIEGER/DBI, L.P.
February 16, 1985 - January 6, 1989
DISCOUNT BROKERS INTERNATIONAL, INC.
April 28, 1982 - May 17, 1986
TWEEDY, BROWNE COMPANY LLC
April 11, 1979 - March 6, 1989
FLEET CLEARING CORPORATION
June 1, 1977 - January 17, 1989
FLEET BROKERAGE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 12
Date: 6/1/1979
NYSE Branch Manager ExaminationSeries 40
Date: 8/28/1978
Registered Principal ExaminationCurrent Firm
AXES, LLC
CRD#: 134036 / SEC#: , 8-66806
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXES HOLDINGS, LLC | SHAREHOLDER | |
| AUERBACH GRAYSON & COMPANY INCORPORATED | SHAREHOLDER | 30761 |
| PERRIGRINE EQUITY LLC | SHAREHOLDER | |
| PIK, ROBERT ROGER | EXECUTIVE V. PRESIDENT & CHIEF MARKETING OFFICER | 1535413 |
| ALLEGRA LEITNER TRUST | SHAREHOLDER | |
| AUERBACH, JONATHAN LEWIS | DIRECTOR-SHAREHOLDER | 8705 |
| EVAN LEITNER TRUST | SHAREHOLDER | |
| FRANK, STEPHEN HAMILTON | SHAREHOLDER | |
| GAFFNEY, PETER FITZGERALD | PRESIDENT, CHIEF COMPLIANCE OFFICER | 1175665 |
| GAVIRIA, SHARON ALEXANDRA | FINOP | 4348648 |
| GRAYSON, DAVID STUART | DIRECTOR, CEO - SHAREHOLDER | 838165 |
| KETTERER, JOHN GEORGE III | SHAREHOLDER | |
| OLIVIA LEITNER TRUST | SHAREHOLDER | |
| PESSIN, NORMAN HERBERT | SHAREHOLDER |
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.
