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DS

David J. Sanducci

Some features on this profile are disabled
CRD#: 2370405
DS

Professional summary

David Joseph Sanducci was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, David had worked at 13 firms, which includes CARLTON CAPITAL INC., PARK CAPITAL SECURITIES LLC, THE CONCORD EQUITY GROUP LLC, GENEVA CAPITAL CORP., TRADE.COM ONLINE SECURITIES INC., THE BOSTON GROUP, R.D. WHITE & CO. INC., MASON HILL & CO. INC., NORTHEAST SECURITIES LLC, PRIME CHARTER LTD., NICHOLS SAFINA LERNER & CO. INC., CITIGROUP GLOBAL MARKETS INC., CHATFIELD DEAN & CO. INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 3, 2003 - March 21, 2006

CARLTON CAPITAL INC.

BD
CRD#: 42533
NEW YORK, NY
Past

January 2, 2001 - January 2, 2004

PARK CAPITAL SECURITIES, LLC

BD
CRD#: 104206
NEW YORK, NY
Past

November 16, 1999 - January 11, 2001

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

March 4, 1999 - November 22, 1999

GENEVA CAPITAL CORP.

BD
CRD#: 43747
NEW YORK, NY
Past

June 23, 1998 - March 30, 1999

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

November 19, 1997 - July 14, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

October 17, 1997 - November 10, 1997

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

August 11, 1997 - October 21, 1997

R.D. WHITE & CO., INC.

BD
CRD#: 7011
NEW YORK, NY
Past

March 25, 1996 - August 22, 1997

MASON HILL & CO., INC.

BD
CRD#: 38308
NEW YORK, NY
Past

November 3, 1995 - March 12, 1996

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

July 31, 1995 - November 13, 1995

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

July 15, 1994 - July 31, 1995

NICHOLS, SAFINA, LERNER & CO. INC.

BD
CRD#: 35476
NEW YORK, NY
Past

January 18, 1994 - June 3, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 25, 1993 - September 10, 1993

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2000
General Securities Principal Examination

Current Firm

CC
CARLTON CAPITAL INC.
CARLTON CAPITAL INC. | FLORIDA SECURITIES CORPORATION | FAITH FINANCIAL SECURITIES INC. | CLAYTON, DUNNING & COMPANY INC. | CHARLESTON CAPITAL CORPORATION

CRD#: 42533 / SEC#: , 8-49874

BD
Terminated by SEC on 01/13/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 11/13/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLAYTON, DUNNING GROUP INC.DIRECT OWNER
EBERT, PAUL FRANCISFINANCIAL PRINCIPAL1121231
WARDI, ALBERT GEORGEPRESIDENT, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER1493452

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CARLTON CAPITAL INC.

CRD#: 42533

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