David F. Dalton
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 Francis Dalton was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1965. David had worked at 9 firms and has passed the Series 63, SIE, Series 5, PC, Series 000, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - January 4, 2020
MOORS & CABOT, INC.
February 13, 1995 - March 7, 2002
TUCKER ANTHONY INCORPORATED
July 31, 1993 - February 22, 1995
CITIGROUP GLOBAL MARKETS INC.
September 17, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - November 9, 1979
LOEB PARTNERS
November 30, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
April 26, 1974 - December 14, 1977
MOSELEY, HALLGARTEN & ESTABROOK INC.
August 10, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
September 22, 1965 - August 10, 1973
F. S. MOSELEY & CO.
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 9/21/1965
General Securities Principal ExaminationSeries 1
Date: 9/21/1965
Registered Representative ExaminationSeries 40
Date: 1/19/1974
Registered Principal ExaminationSeries 12
Date: 9/21/1965
NYSE Branch Manager ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
