Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rountree is a financial advisor with over 13 years of experience in the securities industry. David is currently registered with Cowen and Co. and has held previous positions at Cowen Securities LLC and Dahlman Rose & Company, LLC. David holds the Series 7, Series 24, and Series 63 licenses. David is registered in Connecticut, Massachusetts, and 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
CT
03/07/2013 - Present
Cowen AND Co. (Stamford CT)
NY
06/28/2010 - 03/25/2013
COWEN SECURITIES LLC (NEW YORK NY)
NY
08/12/2009 - 09/01/2009
DAHLMAN ROSE & COMPANY, LLC (NEW YORK NY)
BC
Issued 07/02/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2009
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
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 ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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