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RV

Rose M. Villali

D. BORAL CAPITAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 1518771
RV

Professional summary

Rose Marie Villali, who also goes by Rose Marie Lofaro, is a registered financial professional currently at D. BORAL CAPITAL located in New York, New York.

Rose is registered as a RR (Registered Representative) and started their career in finance in 1996. Rose has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rose Marie Lofaro

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 Rose Marie Villali'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

August 31, 2021 - Present

D. BORAL CAPITAL

Office #1: 590 Madison Ave. 39th Floor, New York, NY 10022
BD
CRD#: 103792
New York, NY
Past

September 28, 2018 - September 25, 2021

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

August 5, 2014 - November 30, 2017

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

April 24, 2006 - July 11, 2014

BTIG, LLC

BD
CRD#: 122225
RED BANK, NJ
Past

January 5, 2004 - August 4, 2004

HILL THOMPSON MAGID & CO., INC.

BD
CRD#: 2202
JERSEY CITY, NJ
Past

June 24, 2003 - October 21, 2003

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

November 19, 2002 - April 10, 2003

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

September 4, 1996 - August 14, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

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
New York
(8/31/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/24/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/31/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 9/3/1996
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DB
D. BORAL CAPITAL
BENCHMARK INVESTMENTS, INC. | EF HUTTON LLC | D. BORAL CAPITAL LLC | D. BORAL CAPITAL | BENCHMARK INVESTMENTS, LLC

CRD#: 103792 / SEC#: , 8-52280

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

Main Address
590 Madison Ave 39th Floor, New York, NY 10022
Mailing Address
590 Madison Ave 39th Floor, New York, NY 10022
Phone number
(212) 570-5150
Established
Nevada since 05/28/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
DBCH PARTNERS LLCSHAREHOLDER
AGRAWAL, SHARADCHIEF TECHNOLOGY OFFICER5115964
BORAL, DAVID WALTERCHIEF EXECUTIVE OFFICER5340753
MERLIN, JAREDCHIEF COMPLIANCE OFFICER4222427
WHALEN, RYAN JAMESGENERAL COUNSEL7457347
WIEDERLIGHT, PHILIPCHIEF OPERATING OFFICER5856024
WILDER, BRADLEY STEPHENFINOP7497819

Disclosures

Regulatory Event2

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

D. BORAL CAPITAL

CRD#: 103792New York, NY 10022

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