David Walter Boral
Professional Summary
David Walter Boral, who also goes by David W Boral, is a registered financial advisor currently at D. BORAL CAPITAL located in New York, New York. David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David W Boral
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BENCHMARK INVESTMENTS, INC. | EF HUTTON LLC | D. BORAL CAPITAL LLC | D. BORAL CAPITAL | BENCHMARK INVESTMENTS, LLC
Contact Information
Main Address
590 Madison Ave 39th Floor, New York, NY 10022Mailing Address
590 Madison Ave 39th Floor, New York, NY 10022Phone Number
(212) 570-5150Established
Nevada since 05/28/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/19/2023)
(4/19/2023)
(6/5/2023)
(5/11/2020)
(4/17/2023)
(5/23/2023)
(4/19/2023)
(4/14/2023)
(4/20/2023)
(4/14/2023)
(6/15/2023)
(7/11/2023)
(4/18/2023)
(4/14/2023)
(4/21/2023)
(4/17/2023)
(5/12/2023)
(5/17/2023)
(6/13/2023)
(4/13/2023)
(4/14/2023)
(4/14/2023)
(5/1/2023)
(5/11/2023)
(8/9/2023)
(4/13/2023)
(4/14/2023)
(5/11/2020)
(4/18/2023)
(4/17/2023)
(4/13/2023)
(4/18/2023)
(5/19/2023)
(4/17/2023)
(4/28/2023)
(4/21/2023)
(4/14/2023)
(4/14/2023)
(5/8/2023)
(5/10/2023)
(5/16/2023)
(4/14/2023)
(4/20/2023)
(5/2/2024)
(4/13/2023)
(4/18/2023)
(4/18/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Walter Boral's CRS (Customer Relationship Summary).
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