David W. Mcnabb
Professional summary
David William Mcnabb is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Tampa, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 1976. David has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, PC, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David William Mcnabb's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 601 South Harbour Island Blvd Suite 109, Tampa, FL 33602November 7, 2014 - October 31, 2023
WOOD (ARTHUR W.) COMPANY, INC.
November 10, 1994 - October 31, 2014
PAUL P. ST. ONGE COMPANY
February 3, 1994 - September 14, 1994
MORGAN STANLEY DW INC.
June 8, 1990 - February 4, 1994
LEGG MASON WOOD WALKER, INCORPORATED
April 11, 1988 - April 12, 1990
LEHMAN BROTHERS INC.
December 1, 1976 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2023)
(10/31/2023)
(10/3/2024)
(10/3/2024)
(10/31/2023)
(10/31/2023)
(10/31/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 12
Date: 5/6/1979
NYSE Branch Manager ExaminationFINRA
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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