Don S. Dalis
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.
Don Stanley Dalis was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1984. Don had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2013 - December 31, 2014
INTEGRATED TRADING AND INVESTMENTS, INC.
March 2, 2011 - October 31, 2011
SAGENT WEALTH MANAGEMENT
January 14, 2011 - December 31, 2012
INTEGRATED TRADING AND INVESTMENTS, INC.
July 8, 1997 - February 10, 2009
UBS FINANCIAL SERVICES INC.
October 7, 1996 - February 10, 2009
UBS FINANCIAL SERVICES INC.
May 30, 1994 - January 12, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1986 - May 31, 1994
LEHMAN BROTHERS INC.
February 8, 1984 - March 12, 1986
E. F. HUTTON & COMPANY INC
January 25, 1984 - February 6, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Series 15
Date: 12/14/1998
Foreign Currency Options ExaminationSeries 8
Date: 6/1/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTEGRATED TRADING AND INVESTMENTS, INC.
CRD#: 47730 / SEC#: , 8-51880
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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