Anthony J. Dufault
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.
Anthony Joseph Dufault, who also goes by Tony Dufault, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. Anthony had worked at 9 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, 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
December 3, 2020 - August 9, 2021
PACIFIC SELECT DISTRIBUTORS, LLC
April 16, 2019 - November 23, 2020
FORESIDE FUND SERVICES, LLC
October 29, 2007 - January 23, 2019
PACIFIC SELECT DISTRIBUTORS, LLC
July 16, 2007 - October 31, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 16, 2007 - October 31, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 11, 2004 - March 12, 2007
METLIFE INVESTORS DISTRIBUTION COMPANY
May 24, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
July 31, 1998 - June 8, 2001
PACIFIC SELECT DISTRIBUTORS, LLC
February 25, 1997 - June 25, 1998
MERCER ALLIED COMPANY, L.P.
February 23, 1994 - February 16, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 23, 1994 - February 16, 1995
EQUITABLE ADVISORS, LLC
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
Series 7TO
Date: 10/30/2023
General Securities Representative ExaminationSeries 6TO
Date: 10/30/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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