Dave B Rao

Current Employers

Employment History

• 05/2016 → 09/2019
  Summit Brokerage Services
  Melville, NY
• 05/2016 → 04/2021
  Summit Financial Services
  Melville, NY
• 09/2019 → 04/2021
  Cetera Advisor Networks Llc
  Melville, NY
• 04/2021 → Present
  Nations Financial Group, Inc.
  Melville, NY

Previous Registrations

• 2016-05-25 → 2021-04-15
  Summit Financial Group Inc
  Melville, NY
• 2014-11-17 → 2016-06-23
  Wells Fargo Advisors Financial Network, Llc
  Melville, NY
• 2011-05-26 → 2014-11-19
  Morgan Stanley
  Great Neck, NY
  Melville, NY

Other Businesses

(1) RAO WEALTH PARTNERS; 445 BROAD HOLLOW RD., SUITE 25 MELVILLE, NY 11747; IS INVESTMENT RELATED; NATURE OF BUSINESS IS DBA FOR RAO CAPITAL.; POSITION IS MANAGING PRINCIPAL; STARTED 05/20/2016; 160 HOURS SPENT ON ACTIVITY, WITH 160 DURING SECURITY TRADING HRS; DUTIES ARE TO USE AS BRAND NAME FOR NATIONS FINANCIAL GROUP BROKERAGE SERVICES AND INVESTMENT ADVISORY BUSINESS // (2)RAO CAPITAL; 445 BROAD HOLLOW RD., SUITE 25 MELVILLE, NY 11747; IS INVESTMENT RELATED; NATURE OF BUSINESS IS OPERATIONAL ARM OF INVESTMENT ADVISORY BUSINESS THROUGH NATIONS FINANCIAL GROUP; POSITION IS PRESIDENT; STARTED 09/01/2014; APPROX. 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 HOURS SPENT ON ACTIVITY DURING TRADING HOURS; DUTIES ARE TO USE THIS ENTITY SOLELY FOR RUNNING THE OPERATIONAL SIDE OF INVESTMENT ADVSORY BUSINESS THROUGH NATIONS FINANCIAL GROUP//

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-06-06
• S63 Uniform Securities Agent State Law Examination
  2006-08-28