DM
David J. Monks
BNY MELLON CAPITAL MARKETS
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 2151349
DM
Professional summary
David Joseph Monks, who also goes by David Joseph Monk, David Joseph Monks, David Monks, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in Oakbrook Terrace, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Joseph Monk | David Joseph Monks | David Monks
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.
CRS (Client Relationship Summary) - BD
Click below to view David Joseph Monks'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®
NoneExperience
Current
December 8, 2023 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: Two Mid America Plaza, Oakbrook Terrace, IL 60181BD
CRD#: 17454
Oakbrook Terrace, IL
Past
July 21, 2021 - April 14, 2023
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
March 4, 2019 - March 25, 2021
280 SECURITIES LLC
BD
CRD#: 284939
Chicago, IL
Past
May 8, 2018 - January 24, 2019
LOOP CAPITAL MARKETS LLC
BD
CRD#: 43098
CHICAGO, IL
Past
December 1, 2005 - January 11, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CHICAGO, IL
Past
October 7, 1999 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
June 21, 1997 - August 17, 1999
MERCANTILE INVESTMENT SERVICES, INC.
BD
CRD#: 19908
ST. LOUIS, MO
Past
August 3, 1995 - June 21, 1997
MARK TWAIN BROKERAGE SERVICES, INC.
BD
CRD#: 16925
Past
April 15, 1994 - August 2, 1995
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
Past
October 21, 1991 - August 19, 1992
P.A. GRAVER & ASSOCIATES, INC.
BD
CRD#: 23309
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
Alabama(12/8/2023)
RR
Alaska(12/8/2023)
RR
Arizona(12/8/2023)
RR
Arkansas(12/8/2023)
RR
California(12/8/2023)
RR
Colorado(12/8/2023)
RR
Connecticut(12/8/2023)
RR
Delaware(12/8/2023)
RR
District of Columbia(12/8/2023)
RR
Florida(12/8/2023)
RR
Georgia(12/8/2023)
RR
Hawaii(12/8/2023)
RR
Idaho(12/8/2023)
RR
Illinois(12/8/2023)
RR
Indiana(12/8/2023)
RR
Iowa(12/8/2023)
RR
Kansas(12/8/2023)
RR
Kentucky(12/8/2023)
RR
Louisiana(12/8/2023)
RR
Maine(12/8/2023)
RR
Maryland(12/8/2023)
RR
Massachusetts(12/8/2023)
RR
Michigan(12/8/2023)
RR
Minnesota(12/8/2023)
RR
Mississippi(12/8/2023)
RR
Missouri(12/8/2023)
RR
Montana(12/8/2023)
RR
Nebraska(12/8/2023)
RR
Nevada(12/8/2023)
RR
New Hampshire(12/8/2023)
RR
New Jersey(12/8/2023)
RR
New Mexico(12/8/2023)
RR
New York(12/8/2023)
RR
North Carolina(12/8/2023)
RR
North Dakota(12/8/2023)
RR
Ohio(12/8/2023)
RR
Oklahoma(12/8/2023)
RR
Oregon(12/8/2023)
RR
Pennsylvania(12/8/2023)
RR
Puerto Rico(12/8/2023)
RR
Rhode Island(12/8/2023)
RR
South Carolina(12/8/2023)
RR
South Dakota(12/8/2023)
RR
Tennessee(12/8/2023)
RR
Texas(12/8/2023)
RR
Utah(12/8/2023)
RR
Vermont(12/8/2023)
RR
Virgin Islands(12/8/2023)
RR
Virginia(12/8/2023)
RR
Washington(12/8/2023)
RR
West Virginia(12/8/2023)
RR
Wisconsin(12/8/2023)
RR
Wyoming(12/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
