David P. Dyer
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 Paul Dyer was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 28, Series 53, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2015 - December 9, 2024
ALLIANCE AFFILIATED EQUITIES CORPORATION
January 17, 2002 - November 2, 2015
ALLIANCE AFFILIATED EQUITIES CORPORATION
October 14, 1991 - November 2, 2015
ALLIANCE AFFILIATED EQUITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 1/7/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALLIANCE AFFILIATED EQUITIES CORPORATION
CRD#: 23928 / SEC#: , 8-40844
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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