Darcy A. Duval
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.
Darcy Alexandra Duval, who also goes by Darcy Alexander Duval, was a registered financial professional .
Darcy is a previously registered financial professional and started their career in finance in 1997. Darcy had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2008 - September 29, 2016
W. H. MELL ASSOCIATES, INC.
November 28, 2005 - July 21, 2008
LAIDLAW & COMPANY (UK) LTD.
March 12, 2002 - December 5, 2005
UBS FINANCIAL SERVICES INC.
June 6, 2001 - February 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2001 - May 17, 2001
DEUTSCHE BANK SECURITIES INC.
March 16, 1999 - January 13, 2001
DB ALEX. BROWN LLC
November 18, 1997 - February 4, 1999
GREENWICH PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W. H. MELL ASSOCIATES, INC.
CRD#: 23635 / SEC#: , 8-40608
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
