David R. Fossella
Professional summary
David R Fossella, who also goes by David Ronald Fossella, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2003. David has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David R Fossella's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2025 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022November 7, 2022 - January 21, 2025
MORGAN STANLEY DISTRIBUTION, INC.
January 16, 2014 - April 1, 2022
COHEN & STEERS SECURITIES, LLC
July 28, 2004 - May 2, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 17, 2003 - June 22, 2004
SIDOTI & COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/23/2025)
(6/23/2025)
Exams
FINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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