Dante T. Demiro
Professional summary
Dante Thomasgarcia Demiro was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dante is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Dante had worked at 4 firms, which includes BROOKSTONE SECURITIES INC., CROCKER SECURITIES LLC, CANTELLA & CO. INC., MULTI-BANK SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2008 - July 14, 2010
BROOKSTONE SECURITIES, INC.
July 18, 2006 - February 20, 2008
CROCKER SECURITIES LLC
November 19, 2002 - March 31, 2006
CANTELLA & CO., INC.
May 16, 1996 - September 24, 2002
MULTI-BANK SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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