Digby M. Ferrera
Professional summary
Digby Michael Ferrera JR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Digby is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Digby had worked at 14 firms, which includes GRADY AND HATCH & COMPANY INC., WINDSOR STREET CAPITAL LP, BELL INVESTMENT GROUP INC., LH ROSS & COMPANY INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, D.L. CROMWELL INVESTMENTS INC., GLOBAL EQUITIES GROUP INC, PACIFIC CORTEZ SECURITIES INCORPORATED, KLEIN MAUS & SHIRE INC., MATRIX SECURITIES CORPORATION, MAIDSTONE FINANCIAL INC., LT LAWRENCE & CO. INC., MONITOR INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2001 - August 14, 2001
GRADY AND HATCH & COMPANY, INC.
June 22, 2000 - December 11, 2000
WINDSOR STREET CAPITAL, LP
January 6, 2000 - June 15, 2000
BELL INVESTMENT GROUP, INC.
July 16, 1999 - December 8, 1999
LH ROSS & COMPANY, INC.
January 28, 1999 - July 13, 1999
LCP CAPITAL CORP.
November 28, 1998 - January 29, 1999
SHAMROCK PARTNERS, LTD
July 10, 1998 - December 4, 1998
D.L. CROMWELL INVESTMENTS, INC.
September 15, 1997 - February 18, 1998
GLOBAL EQUITIES GROUP INC
August 21, 1997 - August 21, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
February 26, 1997 - April 24, 1997
KLEIN, MAUS & SHIRE INC.
January 15, 1997 - February 5, 1997
MATRIX SECURITIES CORPORATION
August 19, 1996 - September 30, 1996
MAIDSTONE FINANCIAL, INC.
June 7, 1996 - September 17, 1996
LT LAWRENCE & CO., INC.
March 19, 1996 - July 10, 1997
MONITOR INVESTMENT GROUP, INC.
April 27, 1995 - February 15, 1996
MAIDSTONE FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GRADY AND HATCH & COMPANY, INC.
CRD#: 14262 / SEC#: , 8-30204
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
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