Linn C. Shoesmith
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.
Linn Christopher Shoesmith was a registered financial professional .
Linn is a previously registered financial professional and started their career in finance in 1992. Linn had worked at 7 firms and has passed the Series 63, SIE, Series 3, 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
May 30, 2007 - December 31, 2020
D. BORAL CAPITAL
July 2, 2003 - November 3, 2003
D. BORAL CAPITAL
February 25, 2000 - July 20, 2001
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
February 19, 1998 - September 22, 1999
PEREGRINE FINANCIALS & SECURITIES, INC.
September 29, 1997 - April 6, 1998
GLOBAL INVESTMENT SERVICES, INC.
April 30, 1996 - April 29, 1997
PROGRAM TRADING CORP.
April 27, 1995 - May 6, 1996
STEIN, SHORE SECURITIES, INC.
June 5, 1992 - April 26, 1995
CHATFIELD DEAN & CO., 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
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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