Iman Dauod
Professional summary
Iman Dauod was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Iman Dauod, who also goes by Amy Dauod, Iman M Dauod, Iman Mohammed Dauod, Ulrike Dauod, was a registered financial advisor .
Iman is a previously registered financial advisor and started their career in finance in 1999. Iman had worked at 10 firms and has passed the Series 66, Series 31 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
August 30, 2012 - May 3, 2013
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
July 22, 2010 - July 6, 2012
PRUCO SECURITIES, LLC.
June 22, 2010 - July 6, 2012
PRUCO SECURITIES, LLC.
September 29, 2009 - June 24, 2010
MSI FINANCIAL SERVICES, INC.
September 23, 2009 - June 24, 2010
MSI FINANCIAL SERVICES, INC.
October 9, 2008 - September 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 8, 2008 - September 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2007 - September 4, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
June 15, 2007 - September 4, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
January 23, 2007 - June 15, 2007
BANCWEST INVESTMENT SERVICES, INC.
September 13, 2004 - June 15, 2007
BANCWEST INVESTMENT SERVICES, INC.
December 20, 2001 - August 23, 2004
U.S. BANCORP INVESTMENTS, INC.
January 12, 2001 - December 5, 2001
GATEWAY INVESTMENT SERVICES, INC.
June 23, 2000 - October 3, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 22, 1999 - July 3, 2000
MORGAN STANLEY DW 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
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
CRD#: 41282 / SEC#: , 8-49352
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HALPERT, JEFFREY ROSS | CEO | 2072459 |
| HALPERT, JEFFREY ROSS | PRESIDENT | 2072459 |
| HYNES, EDWARD JAMES JR | MEMBER | 1058397 |
| PASCULLI, ANTHONY GREGORY | MEMBER | 2238324 |
| CHIECO, DAVID ANTHONY | MEMBER | 1563513 |
| FEINSTEIN, GEOFF IRA | MEMBER | 2259310 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| COLARUSSO, GINNY | CCO | 4221362 |
| GARBUS, STEVEN DAVID | MEMBER | 1268525 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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