Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Circle is a financial professional with over 27 years of experience in the industry. He has a broad range of expertise in the securities market, including experience as an equity trader. David is currently registered with Marex Capital Markets Inc. in Connecticut, Florida, Illinois, Louisiana, New Jersey, New York, Texas, and Wyoming. In addition to his Series 7, 10, 24, 31, 55, 57TO, and 63 licenses, David also holds a Series 65 license. He has held previous positions with COWEN AND COMPANY, COWEN PRIME SERVICES LLC, MAXIM GROUP LLC, LOUIS CAPITAL MARKETS, LP, SUMMIT SECURITIES GROUP LLC, ISRAEL A. ENGLANDER & CO., INC., RBC CAPITAL MARKETS CORPORATION, CARLIN EQUITIES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and MORGAN STANLEY DW INC.
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.
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.
1
2
CT
12/01/2023 - Present
Marex Capital Markets Inc. (Stamford CT)
CT
08/10/2021 - 12/13/2023
COWEN AND COMPANY (Stamford CT)
CT
05/05/2015 - 02/10/2022
COWEN PRIME SERVICES LLC (STAMFORD CT)
NY
09/05/2012 - 06/10/2014
MAXIM GROUP LLC (NEW YORK NY)
NA
08/09/2010 - 03/22/2012
LOUIS CAPITAL MARKETS, LP (PARIS )
NY
04/15/2010 - 07/30/2010
SUMMIT SECURITIES GROUP LLC (NEW YORK NY)
MI
01/02/2008 - 03/31/2010
ISRAEL A. ENGLANDER & CO., INC. (BIRMINGHAM MI)
NY
01/02/2007 - 11/30/2007
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
09/14/2005 - 01/02/2007
CARLIN EQUITIES, LLC (NEW YORK NY)
NY
01/21/2005 - 09/28/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/24/2003 - 11/19/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/21/1992 - 11/07/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 08/08/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/2006
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 07/25/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/13/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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