Dann M. Derrick
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.
Dann Marion Derrick was a registered financial professional .
Dann is a previously registered financial professional and started their career in finance in 1985. Dann had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2004 - September 30, 2016
FIRST HONOLULU SECURITIES, INC.
June 8, 2001 - December 17, 2003
UBS FINANCIAL SERVICES INC.
May 4, 2001 - December 17, 2003
UBS FINANCIAL SERVICES INC.
July 17, 1985 - May 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
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
FIRST HONOLULU SECURITIES, INC.
CRD#: 7964 / SEC#: , 8-23919
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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