Troy Deleon
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.
Troy Deleon, who also goes by Troy Janeen Alexander, Troy Janeen Deleon, Troy Janeen Whipple, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1988. Troy had worked at 16 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
February 18, 2014 - December 31, 2015
INVESTORS CAPITAL CORP.
May 10, 2013 - October 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 25, 2011 - September 6, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 11, 2008 - March 29, 2011
CHARLES SCHWAB & CO., INC.
December 4, 2006 - September 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2004 - September 12, 2006
INVEST FINANCIAL CORPORATION
July 22, 2003 - October 6, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 19, 2002 - July 8, 2003
NEW ENGLAND SECURITIES
May 6, 2002 - July 9, 2002
THE MASTERS, INC.
December 11, 2001 - July 9, 2002
VSR FINANCIAL SERVICES, INC.
October 2, 2000 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 17, 1997 - October 13, 2000
ROBERT W. BAIRD & CO. INCORPORATED
July 31, 1993 - January 22, 1997
CITIGROUP GLOBAL MARKETS INC.
August 27, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
November 24, 1990 - July 15, 1992
MORGAN STANLEY DW INC.
April 20, 1988 - April 9, 1990
FIRSTMONEY SECURITIES CORPORATION
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
