David W. Boral
Professional summary
David Walter Boral, who also goes by David W Boral, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Walter Boral's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2020 - Present
D. BORAL CAPITAL
Office #1: 590 Madison Ave. 39th Floor, New York, NY 10022February 28, 2019 - May 22, 2020
AEGIS CAPITAL CORP.
August 3, 2017 - December 6, 2018
MAXIM GROUP LLC
April 1, 2016 - June 23, 2016
CORINTHIAN PARTNERS, L.L.C.
January 2, 2015 - April 15, 2015
FANTEX BROKERAGE SERVICES, LLC
May 14, 2014 - July 4, 2014
REALTA EQUITIES, INC.
May 3, 2012 - June 5, 2013
JCI ASSET MANAGEMENT, LLC
May 4, 2011 - May 23, 2014
JOHN CARRIS INVESTMENTS LLC
February 8, 2011 - May 3, 2011
NEAR EARTH, LLC
January 19, 2010 - December 7, 2010
JOHN CARRIS INVESTMENTS LLC
December 5, 2007 - January 8, 2010
R. F. LAFFERTY & CO., 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
(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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
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.
