David L. Conrod
Professional summary
David Lucas Conrod, who also goes by Dave Conrod, is a registered financial professional currently at FOCUSPOINT PRIVATE CAPITAL GROUP located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lucas Conrod's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2010 - Present
FOCUSPOINT PRIVATE CAPITAL GROUP
Office #1: 712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019June 8, 2005 - April 6, 2010
GUGGENHEIM SECURITIES, LLC
December 3, 2003 - June 9, 2005
GUGGENHEIM INVESTOR SERVICES, LLC
April 9, 2003 - May 25, 2004
CHANNEL CAPITAL GROUP LLC
February 16, 2000 - June 2, 2003
GUGGENHEIM SECURITIES, LLC
December 7, 1998 - January 24, 2000
HSBC SECURITIES (USA) INC.
October 25, 1993 - December 4, 1998
HSBC BROKERAGE (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/25/2011)
(4/20/2010)
(4/29/2010)
(4/20/2010)
(5/26/2010)
(5/12/2010)
(8/19/2010)
(5/14/2010)
(4/20/2010)
(5/17/2010)
(1/21/2011)
(2/11/2014)
(5/11/2010)
(5/17/2010)
(4/20/2010)
(4/20/2010)
(5/10/2010)
(7/20/2010)
(11/8/2010)
(4/20/2010)
(6/2/2010)
(4/20/2010)
(5/12/2010)
(4/20/2010)
(4/20/2010)
(4/20/2010)
(5/13/2010)
(5/7/2010)
(4/22/2010)
(9/15/2010)
(4/20/2010)
(4/20/2010)
(5/20/2010)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FOCUSPOINT PRIVATE CAPITAL GROUP
CRD#: 122341 / SEC#: , 8-65488
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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