Duane H. Slade
Professional summary
Duane Hamblin Slade was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Duane is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Duane had worked at 5 firms, which includes NATHAN & LEWIS SECURITIES INC., SUNSET FINANCIAL SERVICES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., GUARDIAN INVESTOR SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2000 - March 28, 2000
NATHAN & LEWIS SECURITIES, INC.
February 12, 1997 - January 7, 1999
SUNSET FINANCIAL SERVICES, INC.
April 17, 1996 - February 13, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 17, 1996 - February 13, 1997
SIGNATOR INVESTORS, INC.
December 12, 1995 - April 17, 1996
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
NATHAN & LEWIS SECURITIES, INC.
CRD#: 8503 / SEC#: , 8-25463
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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