John F. Dauro
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.
John Francis Dauro was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 5 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - May 8, 2014
S. GOLDMAN CAPITAL LLC
October 1, 2010 - September 30, 2011
S. GOLDMAN CAPITAL LLC
February 29, 2008 - October 2, 2009
RBC CAPITAL MARKETS, LLC
June 8, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 25, 2006 - June 8, 2007
NATWEST MARKETS SECURITIES INC.
January 5, 2006 - July 19, 2006
NOMURA SECURITIES INTERNATIONAL, 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
Series 55
Date: 9/15/2007
Limited Representative-Equity Trader ExamCurrent Firm
S. GOLDMAN CAPITAL LLC
CRD#: 145107 / SEC#: , 8-67702
Contact information
Documents
Red Flags
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