David J. Minoli
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 John Minoli was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2023 - July 14, 2023
MCG SECURITIES LLC
March 4, 2022 - January 9, 2023
INNOVATION PARTNERS LLC
September 3, 2013 - March 9, 2022
CETERA WEALTH SERVICES, LLC
February 10, 2011 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
June 6, 2007 - February 5, 2009
TRANSAMERICA CAPITAL, LLC
March 30, 2006 - June 4, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 6, 2004 - February 2, 2006
DIRECTED SERVICES LLC
April 16, 2001 - October 1, 2004
GUARDIAN INVESTOR SERVICES LLC
May 13, 1996 - May 1, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MCG SECURITIES LLC
CRD#: 163144 / SEC#: , 8-69068
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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