Earl W. Midgette
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.
Earl Woodrow Midgette, who also goes by Earl W Midgette, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1993. Earl had worked at 10 firms and has passed the Series 63, SIE, Series 31 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
September 24, 2019 - February 16, 2022
D. BORAL CAPITAL
August 2, 2019 - October 10, 2019
IFS SECURITIES
November 22, 2016 - May 2, 2019
LPL FINANCIAL LLC
May 9, 2016 - November 22, 2016
NATIONAL SECURITIES CORPORATION
May 2, 2013 - May 26, 2016
RIDGEWAY & CONGER, INC.
June 24, 2008 - May 6, 2013
CANTELLA & CO., INC.
November 5, 2004 - June 25, 2008
COBURN & MEREDITH, INC.
March 26, 1999 - November 30, 2004
JANNEY MONTGOMERY SCOTT LLC
September 1, 1993 - April 1, 1999
MORGAN STANLEY DW INC.
May 21, 1993 - June 14, 1993
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
