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DF

David A. Fuccillo

Some features on this profile are disabled
CRD#: 4343473
DF

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.

David A. Fuccillo was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2001. David had worked at 3 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 7, 2013 - December 25, 2025

STONECASTLE SECURITIES, LLC

BD
CRD#: 131211
NEW YORK, NY
Past

June 12, 2009 - September 9, 2010

RESRV PARTNERS, INC.

BD
CRD#: 10273
NEW YORK, NY
Past

July 11, 2006 - June 26, 2008

RESRV PARTNERS, INC.

BD
CRD#: 10273
NEW YORK, NY
Past

February 7, 2005 - July 14, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BEACHWOOD, OH
Past

August 7, 2001 - July 14, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BEACHWOOD, OH

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
Series 63
Date: 2/10/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/2001
General Securities Representative Examination

Current Firm

SS
STONECASTLE SECURITIES, LLC
STONE CASTLE SECURITIES, LLC | STONECASTLE SECURITIES, LLC

CRD#: 131211 / SEC#: , 8-66434

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 West 57th Street 52nd Fl, New York, NY 10019
Mailing Address
152 West 57th Street 52nd Floor, New York, NY 10019
Phone number
212-354-6500 X. 304
Established
Delaware since 03/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STONECASTLE PARTNERS, LLCSOLE MEMBER
HOLMEN, ROBERT CHRISTOPHERPRESIDENT, CCO2919060

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

STONECASTLE SECURITIES, LLC

CRD#: 131211

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