David S. Mccollough
Professional summary
David Scott Mccollough, who also goes by David S Mccollough, David Mccollough, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Scott Mccollough's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2020 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 299 Park Avenue 28th Floor, New York, NY 10171January 16, 2015 - March 21, 2019
PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
July 19, 2011 - December 9, 2014
BNP PARIBAS SECURITIES CORP.
October 22, 2008 - November 10, 2009
GE CAPITAL MARKETS, INC.
October 8, 1999 - August 27, 2008
J.P. MORGAN 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
(1/9/2023)
(10/1/2020)
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(10/1/2020)
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(10/1/2020)
(1/15/2026)
(10/1/2020)
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(10/1/2020)
Exams
FINRA
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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