Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid McLaughlin is a securities professional with extensive experience in the financial industry. David has held various roles at leading financial institutions including Goldman, Sachs & Co., Spear, Leeds & Kellogg, L.P., and Gruntal & Co., L.L.C. David is currently a registered representative with Daiwa Capital Markets America Inc. David is registered with the Financial Industry Regulatory Authority (FINRA) and holds several licenses, including Series 7, 9, 10, 55, 57TO, 79TO, 99TO and SIE. David is also a licensed securities agent in New York.
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
NY
02/20/2007 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
NY
09/09/2002 - 02/20/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
05/17/2000 - 09/09/2002
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
NY
03/17/1998 - 05/10/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
07/02/1993 - 09/09/1993
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
BC
Issued 07/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/26/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/13/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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