Della D. Faulkner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Della Dalton Faulkner, who also goes by Della Dalton Ferrell, was a registered financial professional .
Della is a previously registered financial professional and started their career in finance in 1997. Della had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2007 - December 31, 2019
SWBC INVESTMENT SERVICES, LLC
October 24, 2005 - September 18, 2007
CETERA WEALTH SERVICES, LLC
July 3, 2001 - October 24, 2005
BLUE VASE SECURITIES, LLC
March 1, 2000 - July 6, 2001
G. A. REPPLE & COMPANY
August 25, 1997 - February 29, 2000
UVEST FINANCIAL SERVICES GROUP, INC.
February 18, 1997 - August 28, 1997
MERIDIAN ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
Red Flags
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.
