Jeffrey W. Mcconnell
Professional summary
Jeffrey Walker Mcconnell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Jeffrey had worked at 5 firms, which includes DP ASSET MANAGEMENT INC., BAXTER BANKS & SMITH LTD., FIRST SECURITIES USA INC., FIRST ASSOCIATED SECURITIES GROUP INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2000 - November 3, 2004
DP ASSET MANAGEMENT, INC.
November 18, 1998 - March 2, 2000
BAXTER BANKS & SMITH, LTD.
June 26, 1996 - November 23, 1998
FIRST SECURITIES USA, INC.
April 24, 1996 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
October 10, 1994 - April 26, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
State Registrations and Notice Filings
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Exams
Current Firm
DP ASSET MANAGEMENT, INC.
CRD#: 42737 / SEC#: , 8-49980
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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