Dave B Rao

Investment Adviser Representative at NATIONS FINANCIAL GROUP, INC.

Melville, NYCRD #4043172Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

22 yrs

States Registered

17 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 17 states

CaliforniaConnecticutFloridaGeorgiaIllinoisMarylandMassachusettsMissouriNew JerseyNew YorkNorth CarolinaPennsylvaniaTennesseeTexasVermontVirginiaWashington

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 6/6/2010

Series 63

Uniform Securities Agent State Law Examination

Passed 8/28/2006

Series 24

General Securities Principal Examination

Passed 1/14/2016

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 31

Futures Managed Funds Examination

Passed 8/13/2010

Series 87

Research Analyst Exam - Part II Regulations Module

Passed 11/4/2006

Series 86

Research Analyst Exam - Part I Analysis Module

Passed 10/16/2006

Series 7

General Securities Representative Examination

Passed 7/17/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

NATIONS FINANCIAL Group, INC. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NATIONS FINANCIAL GROUP, INC.Current

4/12/2021 – Melville, NY

CETERA ADVISOR NETWORKS LLC

9/20/2019 – 4/15/2021Melville, NY

CREDIT SUISSE SECURITIES (USA) LLC

7/18/2006 – 3/28/2008NEW YORK, NY

PIPER JAFFRAY & CO.

6/11/2008 – 4/8/2009NEW YORK, NY

SUMMIT BROKERAGE SERVICES, INC.

5/25/2016 – 9/20/2019Melville, NY

JEFFERIES & COMPANY, INC.

5/20/2009 – 4/29/2010NEW YORK, NY

ROBERTSON STEPHENS, INC.

5/16/2001 – 7/9/2002SAN FRANCISCO, CA

ING BARINGS LLC

5/16/2000 – 4/30/2001NEW YORK, NY

MORGAN STANLEY

5/14/2010 – 11/19/2014MELVILLE, NY

ABN AMRO INCORPORATED

4/30/2001 – 5/29/2001STAMFORD, CT

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

12/17/1999 – 5/4/2000JERSEY CITY, NJ

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

11/14/2014 – 6/23/2016MELVILLE, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Dave B Rao has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.