Keith M. Dagostino
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.
Keith Michael Dagostino, who also goes by Keith Dagostino, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1997. Keith had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2023 - October 30, 2024
D. BORAL CAPITAL
October 3, 2014 - November 29, 2023
AEGIS CAPITAL CORP.
May 28, 2010 - October 22, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 22, 2005 - June 2, 2010
OPPENHEIMER & CO. INC.
December 15, 2003 - July 22, 2005
LADENBURG THALMANN & CO. INC.
December 12, 2003 - December 18, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 11, 2002 - December 17, 2003
QUICK & REILLY, INC.
March 12, 1997 - November 11, 2002
LADENBURG CAPITAL MANAGEMENT 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
Exams
Current Firm
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
