Dave is the Firm's Founder, Chairman and Chief Executive Officer. He establishes the Firm's strategic objectives, direction and policies. He is responsible for overseeing the organization's management, financial operations, supervision and compliance. Dave brings to the Firm more than 30 years of senior executive management experience in the financial services industry.
After graduating from Bentley University, he began his career in 1984 at Scott, Starr Associates, a Boston-based investment firm specializing in institutional investment services. He developed experience in institutional sales and contributed significantly to the growth of the firm. In 1987, Dave became the firm's Chief Executive Officer. He later founded Scott, Starr Investments, an SEC registered investment advisory firm focused on serving institutional investors.
in 1996, Dave founded Scott, Starr Securities Corporation, an SEC registered broker-dealer and NASD member firm. This positioned the growing organization to offer its institutional clients expanded products and services. In 2005, he merged the two companies, repositioning and rebranding the firm as what we now know as Northern Capital Securities Corporation.
Registrations & Qualifications
FINRA (SIE) Securities Industry Essentials Examination
FINRA Series 7 General Securities Representative
FINRA Series 63 Uniform Securities Agent State Law Examination
FINRA Series 52 Municipal Securities Representative
FINRA Series 99 Operations Professional
FINRA Series 24 General Securities Principal
FINRA Series 53 Municipal Securities Principal
FINRA Series 27 Financial and Operations Principal
FINRA Series 4 Registered Options Principal
FINRA Series 14 Compliance Officer
NASAA Series 65 Uniform Investment Adviser Law Examination
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