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David John Donofrio

Capital ONE Securities, Inc.

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About David John Donofrio

David Donofrio is a financial advisor with Capital One Securities, Inc. David has been in the financial industry since 1994 and has a wide range of experience in the securities industry. David holds Series 7, Series 63, Series 79TO and SIE licenses. David currently holds registrations in several states including Illinois, New York, California, Connecticut, Florida, Louisiana, Maryland, Massachusetts, Pennsylvania, Texas and Virginia.

Firm Information

David Donofrio is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Donofrio’s Registration & Firm History

IL

08/15/2016 - Present

Capital ONE Securities, Inc. (Chicago IL)

NY

10/20/2015 - 07/11/2016

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

IL

10/01/2008 - 09/23/2015

RBS SECURITIES INC. (CHICAGO IL)

IL

03/21/2006 - 10/03/2008

ABN AMRO INCORPORATED (CHICAGO IL)

NY

03/04/2004 - 03/16/2006

HARRIS NESBITT CORP. (NEW YORK NY)

NY

12/18/1998 - 02/20/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/20/1997 - 12/18/1998

CITICORP SECURITIES, INC. (NEW YORK NY)

CA

07/05/1995 - 07/30/1997

BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)

NY

04/15/1994 - 06/20/1995

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/11/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/14/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David John Donofrio.
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