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David Marshall Traub

SG Americas Securities, LLC

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About David Marshall Traub

David Traub is a financial advisor who has been in the industry for over 20 years. David is currently registered with SG Americas Securities, LLC, and is located in New York, NY. David has a broad range of experience, including working for Lehman Brothers Inc., Barclays Capital Inc. and CRT Capital Group LLC. David is licensed to sell securities in all 50 states. David's experience and knowledge make him a valuable resource for investors.

Firm Information

David Traub is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Traub’s Registration & Firm History

NY

07/13/2010 - Present

SG Americas Securities, LLC (NEW YORK NY)

CT

11/24/2008 - 07/08/2010

CRT CAPITAL GROUP LLC (STAMFORD CT)

NY

09/22/2008 - 10/29/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

09/16/2003 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/03/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/24/2012

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/24/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/31/2012

Series 3 - National Commodity Futures Examination

BC

Issued 09/15/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Marshall Traub.
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