David A. Caruso
Professional summary
David Alexander Caruso, who also goes by David John Caruso, David Caruso, is a registered financial professional currently at FNC SECURITIES, LLC located in Grand Forks, North Dakota.
David is registered as a RR (Registered Representative) and started their career in finance in 1985. David has worked at 19 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 6TO, Series 57TO, SIE, Series 87, Series 55, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Alexander Caruso's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2022 - Present
FNC SECURITIES, LLC
Office #1: 4050 Garden View Drive Suite 103, Grand Forks, ND 58201August 6, 2025 - May 1, 2026
TH GLOBAL CAPITAL ADVISORS INC.
May 18, 2023 - May 17, 2024
MAIN STREET SECURITIES LLC
August 1, 2022 - January 22, 2026
LONG BRIDGE SECURITIES, LLC
January 12, 2022 - December 31, 2022
FOREST ROAD SECURITIES
June 15, 2020 - July 28, 2020
D. BORAL CAPITAL
February 9, 2016 - April 6, 2021
TIGRESS FINANCIAL PARTNERS, LLC
February 13, 2014 - March 3, 2015
USTOCKTRADE SECURITIES, INC.
July 6, 2012 - December 23, 2013
GAR WOOD SECURITIES, LLC
May 26, 2006 - January 8, 2009
COWEN EQUITY FINANCE LP
November 11, 2004 - August 16, 2010
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
May 19, 2000 - April 1, 2002
FORTIS SECURITIES LLC
October 22, 1998 - April 28, 1999
CBA SECURITIES LLC
February 12, 1997 - July 29, 1999
ADELPHIA CAPITAL, LLC
April 8, 1996 - June 10, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
May 21, 1993 - February 28, 1995
INTERACCIONES GLOBAL INC.
December 20, 1988 - February 25, 1993
CIBC WORLD MARKETS CORP.
January 6, 1987 - September 29, 1987
NATHAN & LEWIS SECURITIES, INC.
April 12, 1985 - January 13, 1987
RELIASTAR FINANCIAL MARKETING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
FNC SECURITIES, LLC
CRD#: 165646 / SEC#: , 8-69177
Contact information
FINRA licenses (23 States and Territories)
Direct owners and executive officers
Red Flags
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