David J. Capps
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David James Capps, who also goes by David James Capps Sr, David Capps, David James Capps Sr Sr, David James Capps Sr., was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2016 - April 4, 2016
NATIONWIDE SECURITIES, LLC
November 13, 2013 - October 13, 2015
ALLSTATE FINANCIAL SERVICES, LLC
March 7, 2012 - April 9, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
March 28, 2008 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2008 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2002 - April 14, 2008
UBS FINANCIAL SERVICES INC.
October 11, 2002 - April 14, 2008
UBS FINANCIAL SERVICES INC.
September 28, 1998 - October 14, 2002
MORGAN STANLEY DW INC.
September 28, 1998 - October 14, 2002
MORGAN STANLEY DW INC.
July 10, 1995 - September 16, 1998
DAVENPORT & COMPANY LLC
March 16, 1993 - June 26, 1995
FERGUSON, ANDREWS & ASSOCIATES, INC.
July 22, 1991 - February 20, 1993
J.C. BRADFORD & CO.
March 14, 1988 - July 25, 1991
SOVRAN INVESTMENT CORPORATION
November 3, 1987 - February 25, 1988
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
January 29, 1985 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
January 5, 1984 - February 5, 1985
ANDERSON & STRUDWICK, INCORPORATED
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/3/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
