AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
DF

Digby Michael Ferrera Jr.

CRD# 2476951·Registered 1995 - 2001
Barred: Digby Michael Ferrera JR. was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Digby Michael Ferrera JR., who also goes by D Michael Ferrera Jr, Digby Michael Ferrera Jr, Digby Michael Ferrera, Digby Micheal Ferrera, was a registered financial advisor. Digby was a previously registered financial professional and started their career in finance 1995 - 2001. Digby had worked at 14 firms and has passed the Series 63 and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

D Michael Ferrera Jr, Digby Michael Ferrera Jr, Digby Michael Ferrera, Digby Micheal Ferrera

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

31 years in the financial services industry

Current & Past Employments

GRADY AND HATCH & COMPANY, INC.·CRD# 14262
BD
Staten Island, NY
July 11, 2001 - August 14, 2001
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
June 22, 2000 - December 11, 2000
BELL INVESTMENT GROUP, INC.·CRD# 44749
BD
New York, NY
January 6, 2000 - June 15, 2000
LH ROSS & COMPANY, INC.·CRD# 37920
BD
Boca Raton, FL
July 16, 1999 - December 8, 1999
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
January 28, 1999 - July 13, 1999
SHAMROCK PARTNERS, LTD·CRD# 23955
BD
Media, PA
November 28, 1998 - January 29, 1999
D.L. CROMWELL INVESTMENTS, INC.·CRD# 37730
BD
Boca Raton, FL
July 10, 1998 - December 4, 1998
GLOBAL EQUITIES GROUP INC·CRD# 34039
BD
New York, NY
September 15, 1997 - February 18, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
August 21, 1997 - August 21, 1997
KLEIN, MAUS & SHIRE INC.·CRD# 20527
BD
New York, NY
February 26, 1997 - April 24, 1997
MATRIX SECURITIES CORPORATION·CRD# 30991
BD
Garden City, NY
January 15, 1997 - February 5, 1997
MAIDSTONE FINANCIAL, INC.·CRD# 31804
BD
New York, NY
August 19, 1996 - September 30, 1996
LT LAWRENCE & CO., INC.·CRD# 31956
BD
New York, NY
June 7, 1996 - September 17, 1996
MONITOR INVESTMENT GROUP, INC.·CRD# 31007
BD
March 19, 1996 - July 10, 1997
MAIDSTONE FINANCIAL, INC.·CRD# 31804
BD
New York, NY
April 27, 1995 - February 15, 1996

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

GA
GRADY AND HATCH & COMPANY, INC.

G.H. SECURITIES & CO. | GRADY AND HATCH & COMPANY, INC.

CRD#: 14262 / SEC#: 8-30204
BD
Cancelled by SEC on 11/01/2002

Contact Information

Established

New York since 05/02/1983

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
G&H ACQUISITION CORP.OWNER—
GRADY, ROBERT EDWARDOWNER226921
ALLEN, RAY ANTHONYCOMPLIANCE DIRECTOR2925054
MINERVA, JOHN DANIELPRESIDENT2702468

Disclosures

Regulatory Event

17

Arbitration

2

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1995About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
DF
Follow Digby
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required