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David L. Cafro

WESTMINSTER FINANCIAL SECURITIES
Beavercreek, OH 45440
Some features on this profile are disabled
CRD#: 1004120
DC

Professional summary

David Lee Cafro, who also goes by David L Cafro, is a registered financial professional currently at WESTMINSTER FINANCIAL SECURITIES, INC. located in Beavercreek, Ohio.

David is registered as a RR (Registered Representative) and started their career in finance in 1981. David has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David L Cafro

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lee Cafro's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 7, 2018 - Present

WESTMINSTER FINANCIAL SECURITIES, INC.

Office #1: 50 Chestnut Street Suite A-200, Beavercreek, OH 45440
BD
CRD#: 20677
Beavercreek, OH
Past

July 1, 2005 - November 17, 2017

NICOL INVESTORS CORPORATION

BD
CRD#: 123111
DAYVILLE, CT
Past

November 29, 2004 - May 24, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

February 6, 2004 - September 7, 2004

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

December 20, 2001 - October 31, 2003

INTERVEST INTERNATIONAL EQUITIES CORPORATION

BD
CRD#: 20289
COLORADO SPRINGS, CO
Past

May 23, 2001 - December 20, 2001

RICHARD B. VANCE & COMPANY

BD
CRD#: 3656
JOLIET, IL
Past

May 3, 1999 - August 10, 2001

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

November 25, 1992 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

December 19, 1989 - December 24, 1992

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

November 15, 1988 - December 31, 1989

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
CARMEL, IN
Past

February 21, 1985 - November 19, 1987

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
Past

October 9, 1981 - November 16, 1987

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(12/7/2018)
RR
Massachusetts
(2/21/2019)
RR
Rhode Island
(2/23/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/31/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WESTMINSTER FINANCIAL SECURITIES, INC.
BRAZIE & COMPANY, INC. | WESTMINSTER FINANCIAL SECURITIES, INC. | BRAZIE FINANCIAL SERVICES, INC. | BRAZIE FINANCIAL SECURITIES, INC.

CRD#: 20677 / SEC#: , 8-38426

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Mailing Address
50 Chestnut Street Suite A-200, Beavercreek, OH 45440
Phone number
(937) 898-5010
Established
Ohio since 07/23/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WESTMINSTER FINANCIAL COMPANIES, INC.HOLDING COMPANY
STAGER, KIRK WILSONCEO2785614
STAGER, KIRK WILSONPRESIDENT2785614
SWEENEY, ANGELA C.FINOP,CFO4036900
TRUNCK, JESSICA MARIECHIEF COMPLIANCE OFFICER4561886

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677Beavercreek, OH 45440

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