David J. Donofrio
Professional summary
David John Donofrio, who also goes by David Donofrio, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David John Donofrio's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2016 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 77 West Wacker Drive 10th Floor, Chicago, IL, 60601October 20, 2015 - July 11, 2016
HSBC SECURITIES (USA) INC.
October 1, 2008 - September 23, 2015
NATWEST MARKETS SECURITIES INC.
March 21, 2006 - October 3, 2008
ABN AMRO INCORPORATED
March 4, 2004 - March 16, 2006
BMO CAPITAL MARKETS CORP.
December 18, 1998 - February 20, 2004
CITIGROUP GLOBAL MARKETS INC.
August 20, 1997 - December 18, 1998
CITICORP SECURITIES, INC.
July 5, 1995 - July 30, 1997
BANCAMERICA SECURITIES, INC.
April 15, 1994 - June 20, 1995
CITICORP SECURITIES, 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
(1/11/2023)
(1/11/2017)
(1/11/2017)
(8/15/2016)
(1/11/2017)
(1/11/2017)
(1/11/2017)
(8/15/2016)
(1/11/2017)
(1/11/2017)
(1/11/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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