Xavier J. Duran
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.
Xavier Joseph Duran, who also goes by XIe Duran, was a registered financial advisor .
Xavier is a previously registered financial advisor and started their career in finance in 1997. Xavier had worked at 5 firms and has passed the Series 65, Series 63, Series 31 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
September 6, 2001 - December 17, 2003
PMG SECURITIES CORPORATION
January 1, 1999 - October 30, 2002
PWR ASSOCIATES
November 18, 1998 - September 6, 2001
WATERSTONE FINANCIAL GROUP, INC.
February 27, 1998 - September 15, 1998
PIPER SANDLER & CO.
July 24, 1997 - March 17, 1998
MORGAN STANLEY DW 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
PMG SECURITIES CORPORATION
CRD#: 27107 / SEC#: , 8-42881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BARRETT, THOMAS RALPH | DIRECTOR | 2820433 |
| CALLAWAY, STEVE MANLEY | CHIEF COMPLIANCE OFFICER/SECRETARY | 2863190 |
| DEBNAR, LAWRENCE JAMES | CHIEF FINANCIAL OFFICER/FINANCIAL & OPERATIONS PRINCIPAL | 3110005 |
| KING, CAROLYN | PRESIDENT & DIRECTOR | 859759 |
| MAJEWSKI, CAROL LOUANN | ASSISTANT COMPLIANCE OFFICER | 1423566 |
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.
