Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alan Margulies is a financial professional with over 20 years of experience in the industry. David has a strong background in securities trading and investment management. David currently holds a Series 7, Series 24, Series 55, Series 57TO, and Series 63 license and is registered with Piper Sandler & Co. in Connecticut, New York, California, and Texas. David has held previous positions at WEEDEN & CO. L.P., PRAGMA SECURITIES LLC, SUSQUEHANNA FINANCIAL GROUP, LLLP, HARBORSIDE SECURITIES, LLC, KNIGHT SECURITIES, L.P., and ROBERTSON STEPHENS, INC. David specializes in portfolio management for businesses and analytical reports/public finance consulting programs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
08/02/2019 - Present
Piper Sandler & Co. (Greenwich CT)
CT
05/04/2007 - 08/02/2019
WEEDEN & CO.L.P. (GREENWICH CT)
CT
01/28/2009 - 12/31/2012
PRAGMA SECURITIES LLC (GREENWICH CT)
NY
06/30/2005 - 05/01/2007
SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)
NY
01/06/2003 - 05/17/2005
HARBORSIDE SECURITIES, LLC (NEW YORK NY)
NJ
07/25/2001 - 10/16/2002
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
CA
05/16/2000 - 05/09/2001
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NJ
11/12/1999 - 05/31/2000
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
BC
Issued 12/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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