Anthony M. Dunphy
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.
Anthony Michael Dunphy, who also goes by Anthony M Dunphy, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1999. Anthony had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - May 31, 2016
DASH FINANCIAL TECHNOLOGIES LLC
April 10, 2013 - June 30, 2015
EZE CASTLE TRANSACTION SERVICES LLC
April 11, 2011 - April 5, 2013
COWEN EXECUTION SERVICES LLC
June 15, 2009 - July 28, 2010
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 14, 2006 - June 15, 2009
GOLDMAN SACHS & CO. LLC
July 21, 2000 - March 14, 2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 25, 1999 - June 30, 2000
VANGUARD MARKETING CORPORATION
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
Series 55
Date: 2/27/2001
Limited Representative-Equity Trader ExamCurrent Firm
DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
Red Flags
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