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RG

Robert D. Gaynor

CAPITAL ONE SECURITIES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 1903144
RG

Professional summary

Robert Douglas Gaynor is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Stamford, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Robert Douglas Gaynor's 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

January 26, 2023 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 100 First Stamford Place Suite #202, Stamford, CT 06902
BD
CRD#: 44158
Stamford, CT
Past

December 1, 2009 - December 1, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
NEW YORK, NY
Past

September 11, 2009 - December 16, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

January 14, 2008 - January 16, 2009

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 31, 2006 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 10, 2004 - May 19, 2006

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

June 15, 2001 - January 26, 2004

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 29, 1999 - June 26, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 18, 1998 - May 14, 1999

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

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
California
(3/26/2024)
RR
Connecticut
(1/30/2023)
RR
Florida
(1/27/2023)
RR
Illinois
(3/26/2024)
RR
Louisiana
(1/27/2023)
RR
Maryland
(1/27/2023)
RR
Massachusetts
(3/26/2024)
RR
New York
(3/26/2024)
RR
Pennsylvania
(3/26/2024)
RR
Texas
(3/26/2024)
RR
Virginia
(3/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/26/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/20/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

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

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

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

CAPITAL ONE SECURITIES, INC.

CRD#: 44158Stamford, CT 06902

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