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DAVID JOHN CARUSO
DAVID CARUSO
CRD#: 1261444
B
Broker Regulated by FINRA
FNC SECURITIES, LLCCRD#: 165646 4050 GARDEN VIEW DRIVE
SUITE 103
GRAND FORKS, ND 58201
+1
Registration History
1985199019952000200520102015202020252 FIRMS2022 - Present (2 years)BMAIN STREET SECURITIES LLC (CRD# 324347)2023 - 2024 (1 year)BFOREST ROAD SECURITIES (CRD# 313784)2022 - 2022 (<1 year)BTIGRESS FINANCIAL PARTNERS, LLC (CRD# 154717)2016 - 2021 (5 years)BBENCHMARK INVESTMENTS, INC. (CRD# 103792)2020 - 2020 (<1 year)BUSTOCKTRADE SECURITIES, INC. (CRD# 16208)2014 - 2015 (1 year)BGAR WOOD SECURITIES, LLC (CRD# 138033)2012 - 2013 (1 year)BINDUSTRIAL AND COMMERCIAL BANK... (CRD# 131487)2004 - 2010 (5 years)BKDC MERGER ARBITRAGE FUND, LP (CRD# 10019)2006 - 2009 (2 years)BFORTIS INVESTMENT SERVICES LLC (CRD# 103714)2000 - 2002 (1 year)BADELPHIA CAPITAL, LLC (CRD# 38244)1997 - 1999 (2 years)BCBA SECURITIES LLC (CRD# 33149)1998 - 1999 (<1 year)BTHE NIKKO SECURITIES CO. INTER... (CRD# 824)1996 - 1998 (2 years)BINTERACCIONES GLOBAL INC. (CRD# 30289)1993 - 1995 (1 year)BOPPENHEIMER & CO., INC. (CRD# 630)1988 - 1993 (4 years)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1987 - 1987 (<1 year)BRELIASTAR FINANCIAL MARKETING ... (CRD# 4234)1985 - 1987 (1 year)
License(s)

State Registrations

B
Arizona

B
Missouri

B
California

B
Montana

B
Colorado

B
Nebraska

B
Florida

B
New Jersey

B
Illinois

B
New York

B
Indiana

B
North Dakota

B
Iowa

B
Ohio

B
Kansas

B
Rhode Island

B
Kentucky

B
South Carolina

B
Maryland

B
South Dakota

B
Massachusetts

B
Texas

B
Minnesota

B
Wisconsin

SRO Registrations

Current Registration(s)
B
FNC SECURITIES, LLC (CRD#:165646)
4050 GARDEN VIEW DRIVE SUITE 103, GRAND FORKS, ND 58201
Registered with this firm since 11/6/2022

B
LONG BRIDGE SECURITIES LLC (CRD#:314519)
413 W 14TH ST SUITE 207A, NEW YORK, NY 10014
Registered with this firm since 8/1/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/18/2023 - 05/17/2024 MAIN STREET SECURITIES LLC (CRD#:324347) Naples, FL
B
01/12/2022 - 12/31/2022 FOREST ROAD SECURITIES (CRD#:313784) Pacific Palisades, CA
B
02/09/2016 - 04/06/2021 TIGRESS FINANCIAL PARTNERS, LLC (CRD#:154717) NEW YORK, NY
B
06/15/2020 - 07/28/2020 BENCHMARK INVESTMENTS, INC. (CRD#:103792) NEW YORK, NY
B
02/13/2014 - 03/03/2015 USTOCKTRADE SECURITIES, INC. (CRD#:16208)
FINRA expelled the firm on 08/11/2022
Newton, NJ
B
07/06/2012 - 12/23/2013 GAR WOOD SECURITIES, LLC (CRD#:138033) NAPERVILLE, IL
B
11/11/2004 - 08/16/2010 INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC (CRD#:131487) NEWTON, NJ
B
05/26/2006 - 01/08/2009 KDC MERGER ARBITRAGE FUND, LP (CRD#:10019) NEW YORK, NY
B
05/19/2000 - 04/01/2002 FORTIS INVESTMENT SERVICES LLC (CRD#:103714) NEW YORK, NY
B
02/12/1997 - 07/29/1999 ADELPHIA CAPITAL, LLC (CRD#:38244) NEW YORK, NY
B
10/22/1998 - 04/28/1999 CBA SECURITIES LLC (CRD#:33149) GREENWICH, CT
B
04/08/1996 - 06/10/1998 THE NIKKO SECURITIES CO. INTERNATIONAL, INC. (CRD#:824) NEW YORK, NY
B
05/21/1993 - 02/28/1995 INTERACCIONES GLOBAL INC. (CRD#:30289) NEW YORK, NY
B
12/20/1988 - 02/25/1993 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
01/06/1987 - 09/29/1987 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503)
B
04/12/1985 - 01/13/1987 RELIASTAR FINANCIAL MARKETING CORP. (CRD#:4234)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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