Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mortimer is a financial professional with over 25 years of experience in the industry. He has a broad range of experience, including previous roles at WallachBeth Capital LLC, SenaHill Securities, LLC, Pipeline Trading Systems LLC, and Piper Jaffray & Co. He is currently registered with Finalis Securities LLC and holds a variety of licenses, including Series 3, 4, 7, 24, 63, 79, and the SIE exam. David's expertise spans a variety of financial markets, including equities, options, and futures.
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
NY
05/01/2024 - Present
Finalis Securities LLC (New York NY)
FL
03/31/2022 - 10/30/2023
WALLACHBETH CAPITAL LLC (BOCA RATON FL)
FL
06/18/2018 - 01/28/2021
WALLACHBETH CAPITAL LLC (BOCA RATON FL)
NY
10/08/2014 - 10/09/2017
SENAHILL SECURITIES, LLC (NEW YORK NY)
PA
07/31/2009 - 11/30/2011
PIPELINE TRADING SYSTEMS LLC (NEW HOPE PA)
PA
01/04/2008 - 01/04/2010
PIPELINE LIQUIDITY PRO LLC (NEW HOPE PA)
NY
11/19/2004 - 05/24/2006
PIPER JAFFRAY & CO. (NEW YORK NY)
NY
03/27/2003 - 12/07/2004
VIE SECURITIES, LLC (NEW YORK NY)
PA
04/01/2003 - 09/15/2003
VIE INSTITUTIONAL SERVICES, INC. (PHILADELPHIA PA)
IL
09/12/2002 - 01/07/2003
KNIGHT EXECUTION PARTNERS LLC (CHICAGO IL)
NJ
10/12/2001 - 12/16/2002
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
NY
01/16/2001 - 03/06/2001
SUSQUEHANNA BROKERAGE, L.P. (NEW YORK NY)
PA
01/10/2001 - 03/06/2001
SUSQUEHANNA CAPITAL GROUP (BALA CYNWYD PA)
PA
03/16/2000 - 03/06/2001
SUSQUEHANNA FINANCIAL GROUP, INC. (BALA CYNWYD PA)
WI
02/07/1997 - 03/23/2000
QUAKER CAPITAL MARKETS GROUP, INC. (MIDDLETON WI)
PA
05/21/1992 - 03/28/1995
QUAKER SECURITIES, INC. (MALVERN PA)
MD
10/09/1989 - 02/18/1992
CHASE SECURITIES, INC. (NEW YORK MD)
NY
07/29/1986 - 08/01/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BC
Issued 12/15/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/2004
Series 24 - General Securities Principal Examination
BC
Issued 12/05/1989
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2015
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/10/1989
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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