Dave W. Connochie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dave Walter Connochie was a registered financial professional .
Dave is a previously registered financial professional and started their career in finance in 1982. Dave had worked at 17 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 1994 - June 6, 1995
PARAGON CAPITAL MARKETS, INC.
February 1, 1994 - March 24, 1994
AMERIPRISE ADVISOR SERVICES, INC.
August 14, 1992 - January 13, 1994
PARAGON CAPITAL MARKETS, INC.
May 19, 1992 - August 17, 1992
SCHNEIDER SECURITIES, INC.
February 11, 1992 - June 24, 1992
MAYFAIR SECURITIES LIMITED
October 31, 1990 - June 2, 1992
BURNETT, GREY & CO., INC.
September 4, 1990 - September 26, 1990
BRENNAN ROSS SECURITIES, INC.
April 2, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
January 8, 1990 - May 3, 1990
INTERNATIONAL ASSETS ADVISORY, LLC
December 15, 1989 - January 25, 1990
JOSEPHTHAL & CO., INC.
December 12, 1989 - January 1, 1990
H.J. MEYERS & CO., INC.
November 15, 1989 - January 17, 1990
J F LOWE & COMPANY INCORPORATED
June 28, 1989 - July 27, 1989
J. W. GANT & ASSOCIATES, INC.
June 13, 1986 - June 12, 1987
TRI-BRADLEY INVESTMENTS
August 13, 1985 - February 19, 1986
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
August 10, 1984 - August 23, 1984
NIELSON AND CLARK INC.
July 26, 1984 - August 10, 1984
WALFORD, DEMARET & CO., INC.
November 9, 1982 - June 19, 1984
OXFORD INTERNATIONAL SECURITIES,INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARAGON CAPITAL MARKETS, INC.
CRD#: 18555 / SEC#: , 8-36765
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
