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DP

David M. Pett

FIRST DOMINION CAPITAL
Richmond, VA 23235
Some features on this profile are disabled
CRD#: 6683371
DP

Professional summary

David Matthew Pett, who also goes by David Pett, is a registered financial professional currently at FIRST DOMINION CAPITAL CORP. located in Richmond, Virginia.

David is registered as a RR (Registered Representative) and started their career in finance in 2016. David has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Pett

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 Matthew Pett'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

May 31, 2024 - Present

FIRST DOMINION CAPITAL CORP.

Office #1: 8730 Stony Point Pkwy, Suite 205, Richmond, VA 23235
BD
CRD#: 16330
Richmond, VA
Past

June 29, 2023 - May 23, 2024

IGM BROKERAGE

BD
CRD#: 310654
RALEIGH, NC
Past

June 7, 2023 - July 17, 2023

SAXONY SECURITIES, INC.

BD
CRD#: 115547
MIAMI BEACH, FL
Past

July 26, 2016 - August 20, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

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
Florida
(5/31/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FIRST DOMINION CAPITAL CORP.
FIRST DOMINION CAPITAL CORP | VONTOBEL FUND DISTRIBUTORS, INC. | TYNDALL-NEWPORT DISTRIBUTORS, INC. | TYNDALL DISTRIBUTORS, INC. | NEWPORT DISTRIBUTORS, INC. | FIRST DOMINION CAPITAL CORPORATION | FIRST DOMINION CAPITAL CORP.

CRD#: 16330 / SEC#: , 8-33719

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

Main Address
8730 Stony Point Parkway Building Iii, Suite 205, Richmond, VA 23235
Mailing Address
8730 Stony Point Parkway Suite 205, Richmond, VA 23235
Phone number
(804) 304-1689
Established
Virginia since 11/01/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 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#
JOHN PASCO III REVOCABLE TRUST DATED MAY 10, 2004OWNER
PRICE, JOHN CLIFFORDOWNER1707529
ANCI, CHRISTOPHER FRANCISPRESIDENT, FINOP, PRINCIPAL2747555
PASCO, JOHN IIITRUSTEE357414
PORTWOOD, WILLIAM BOYCECHIEF COMPLIANCE OFFICER4853700
VERMILLERA, SANDRA ZEMBACHSVICE PRESIDENT, TREASURER, PRINCIPAL6376063

Disclosures

Regulatory Event1

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

FIRST DOMINION CAPITAL CORP.

CRD#: 16330Richmond, VA 23235

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