Dean Z. Pinard
Professional summary
Dean Zenon Pinard was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dean is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Dean had worked at 3 firms, which includes BANC OF AMERICA SECURITIES LLC, FIRST UNION CAPITAL MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 1999 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
February 2, 1998 - April 9, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 5, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
August 19, 1994 - January 10, 1997
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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