David J. Dietz
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.
David Jay Dietz, who also goes by Dave Dietz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 6 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2011 - February 3, 2017
BFP SECURITIES, LLC
August 10, 2004 - August 12, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 26, 1998 - May 26, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
November 13, 1990 - November 6, 1997
PRUCO SECURITIES, LLC.
November 19, 1989 - June 22, 1990
OSAIC WEALTH, INC.
June 15, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY 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
BFP SECURITIES, LLC
CRD#: 44731 / SEC#: , 8-50798
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENEFIT FINANCE PARTNERS, LLC | OWNER | |
| DOHERTY, ERIN E | CCO | 4576409 |
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.
