Manuel L. De Dios
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.
Manuel Lum De Dios, who also goes by Manuel Lum Dedios Sr, Manuel Lum Dedios, was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 1995. Manuel had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2006 - July 2, 2008
ALTA VISTA FINANCIAL, INC.
July 21, 1995 - June 6, 2013
KINSELL, NEWCOMB & DE DIOS, INC
State Registrations and Notice Filings
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Exams
Current Firm
ALTA VISTA FINANCIAL, INC.
CRD#: 136980 / SEC#: , 8-67054
Contact information
Documents
Direct owners and executive officers
Red Flags
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