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DD

David H. Dunford

ZANBATO SECURITIES LLC
Mountain View, CA 94043
Some features on this profile are disabled
CRD#: 6118415
DD

Professional summary

David Harvey Dunford is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2012. David has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Harvey Dunford's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 3, 2016 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043Office #2: 711 N. Shorline Blvd., Mountain View, CA 94043
BD
CRD#: 279028
Mountain View, CA
Past

March 27, 2015 - March 24, 2016

INTE SECURITIES LLC

BD
CRD#: 47107
Mountain View, CA
Past

November 14, 2012 - March 23, 2015

SUTTER SECURITIES INCORPORATED

BD
CRD#: 30770
MOUNTAIN VIEW, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(9/17/2021)
RR
Arizona
(9/17/2021)
RR
Arkansas
(9/17/2021)
RR
California
(3/3/2016)
RR
Colorado
(9/17/2021)
RR
Connecticut
(9/17/2021)
RR
Delaware
(9/17/2021)
RR
District of Columbia
(9/17/2021)
RR
Florida
(9/17/2021)
RR
Georgia
(3/26/2019)
RR
Illinois
(9/17/2021)
RR
Indiana
(9/17/2021)
RR
Kansas
(9/17/2021)
RR
Kentucky
(9/17/2021)
RR
Louisiana
(9/17/2021)
RR
Maine
(9/17/2021)
RR
Maryland
(9/17/2021)
RR
Massachusetts
(9/17/2021)
RR
Michigan
(5/28/2021)
RR
Minnesota
(9/17/2021)
RR
Missouri
(9/17/2021)
RR
New Jersey
(9/17/2021)
RR
New York
(3/3/2016)
RR
North Carolina
(9/17/2021)
RR
Ohio
(9/17/2021)
RR
Oklahoma
(9/17/2021)
RR
Oregon
(10/17/2017)
RR
Pennsylvania
(9/17/2021)
RR
Puerto Rico
(3/27/2019)
RR
South Carolina
(9/17/2021)
RR
Texas
(9/17/2021)
RR
Utah
(2/7/2019)
RR
Virgin Islands
(9/17/2021)
RR
Virginia
(9/17/2021)
RR
Washington
(9/17/2021)
RR
Wisconsin
(2/25/2019)
RR
Wyoming
(9/17/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/7/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 11/13/2012
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZANBATO SECURITIES LLC
ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Mailing Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Phone number
(650) 557-2333
Established
Delaware since 06/17/2015
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZANBATO HOLDING COMPANY LLCMEMBER
FITZGERALD, HEATHERCFO4427665
RAFFERTY, MARIANNECCO1982973
SAND, KNUT NICOLAICEO6115928
WRIGHT, GREGORY LANCEPRESIDENT1564124

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.

Company Information

ZANBATO SECURITIES LLC

CRD#: 279028Mountain View, CA 94043

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