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David M Caruana

Stifel, Nicolaus & Company, Incorporated

Enfield, CT

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-06-21
TX RA APPROVED 2021-03-30
  • CT RA
    APPROVED
    Since 2022-06-21
  • TX RA
    APPROVED
    Since 2021-03-30

Branch Locations

1699 King Street Suite 401, Enfield, CT 06082 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Longmeadow MA 10/2020 Present
N/A Brooklyn NY 07/2020 10/2020
Landscape Capital New York NY 06/2015 07/2020
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-26
  • S66 Uniform Combined State Law Examination
    2021-03-26
Other Names
  • David Caruana

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · ENFIELD, CT
STATE FARM INVESTMENT MANAGEMENT CORP. · ENFIELD, CT
J.P. MORGAN SECURITIES LLC · Enfield, CT
EDWARD JONES · ENFIELD, CT
ST. GERMAIN INVESTMENT MANAGEMENT · SPRINGFIELD, MA
CETERA INVESTMENT ADVISERS LLC · ENFIELD, CT
ADVOCACY WEALTH MANAGEMENT, LLC · ENFIELD, CT
LPL FINANCIAL LLC · ENFIELD, CT

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