Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Steven Hartnett is a financial professional with over 35 years of experience in the financial services industry. David is currently registered with Cowen AND Co. in Stamford, CT. David has previously worked at RBC Capital Markets, LLC, RBC Capital Markets Corporation, RBC DAIN RAUSCHER INC., CREDIT SUISSE FIRST BOSTON LLC, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, CIBC WORLD MARKETS, THE NIKKO SECURITIES CO. INTERNATIONAL, INC., WOOLCOTT & CO., INC., and NEWHARD, COOK & CO. INCORPORATED. David is a licensed General Securities Principal, Securities Trader, Limited Representative-Equity Trader, and General Securities Representative. David is licensed in California, Connecticut, Maryland, New Jersey 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.
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2
CT
08/04/2015 - Present
Cowen AND Co. (Stamford CT)
NY
02/29/2008 - 06/24/2015
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
07/31/2003 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
07/28/2003 - 02/06/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
10/10/2000 - 08/08/2003
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
07/06/1999 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/24/1989 - 07/16/1999
CIBC WORLD MARKETS (NEW YORK NY)
NA
10/02/1987 - 01/26/1989
THE NIKKO SECURITIES CO. INTERNATIONAL, INC.
NA
12/11/1986 - 08/19/1987
WOOLCOTT & CO., INC.
NA
02/28/1986 - 09/19/1986
NEWHARD, COOK & CO. INCORPORATED
NA
06/10/1985 - 02/03/1986
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
BC
Issued 05/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2009
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 02/16/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, 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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