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DM

Denis Mcguire

CAPITAL BROKERAGE
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 2895255
DM

Professional summary

Denis Mcguire, who also goes by Denis Patrick Mcguire, Denis P Mcguire, is a registered financial professional currently at CAPITAL BROKERAGE CORPORATION located in Glen Allen, Virginia.

Denis is registered as a RR (Registered Representative) and started their career in finance in 1998. Denis has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denis Patrick Mcguire | Denis P Mcguire

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) - BD

Click below to view Denis Mcguire'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®
None

Experience

Current

December 4, 2025 - Present

CAPITAL BROKERAGE CORPORATION

Office #1: 11011 West Broad Street Building 2, Glen Allen, VA 23060
BD
CRD#: 10465
Glen Allen, VA
Past

January 6, 2020 - December 2, 2022

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
Norwalk, CT
Past

June 8, 2017 - December 31, 2019

MMC SECURITIES LLC

RIA
CRD#: 103846
Norwalk, CT
Past

March 1, 2013 - December 31, 2019

MMC SECURITIES LLC

BD
CRD#: 103846
Norwalk, CT
Past

January 20, 2011 - January 7, 2013

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

July 21, 2005 - July 29, 2005

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
STAMFORD, CT
Past

May 14, 2004 - July 29, 2005

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

October 24, 2003 - July 29, 2005

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 7, 1998 - July 3, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
IAR
Series 66
Date: 3/31/2017
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/1/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/23/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/25/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/6/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/30/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

CB
CAPITAL BROKERAGE CORPORATION
CAPITAL BROKERAGE CORPORATION | GNA SECURITIES, INC. | GENWORTH FINANCIAL BROKERAGE CORPORATION | GE CAPITAL BROKERAGE CORPORATION

CRD#: 10465 / SEC#: , 8-26614

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Contact information

Main Address
11011 West Broad Street Building 2, Glen Allen, VA 23060
Mailing Address
11011 West Broad Street Building 2, Glen Allen, VA 23060
Phone number
(804) 513-3172
Established
Washington since 07/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GNA CORPORATIONSHAREHOLDER COMMON
NAMORATO, JAMES JOSEPHCHIEF COMPLIANCE OFFICER2944112
TABB, MARIA ODONNELLPRESIDENT AND CHIEF EXECUTIVE OFFICER1309483
TURNER, BONNIE COBBFINOP4389441

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPITAL BROKERAGE CORPORATION

CRD#: 10465Glen Allen, VA 23060

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