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David Ziegelstein

SG Americas Securities, LLC

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About David Ziegelstein

David Ziegelstein is a financial professional with over 15 years of experience in the financial services industry. David is currently registered with SG Americas Securities, LLC and is licensed to conduct business in New York. David holds a variety of licenses and certifications, including Series 7, 24, 63, 79, 99, and SIE. Prior to joining SG Americas Securities, LLC, David was employed by UBS Financial Services Inc. David has a strong track record of success in helping clients achieve their financial goals.

Firm Information

David Ziegelstein 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 Ziegelstein’s Registration & Firm History

NY

06/26/2012 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

11/21/2007 - 12/10/2007

UBS FINANCIAL SERVICES INC. (WHITE PLAINS NY)

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Licenses & Designations

BC

Issued 12/09/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/22/2021

Series 24 - General Securities Principal Examination

BC

Issued 08/12/2024

Series 7TO - General Securities Representative Examination

BC

Issued 09/09/2019

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/25/2012

Series 99 - Operations Professional Examination

BC

Issued 11/20/2007

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 Ziegelstein.
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