Thaddeus E. Mcfadden
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.
Thaddeus Edward Mcfadden was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1973. Thaddeus had worked at 14 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2019 - January 9, 2020
D. BORAL CAPITAL
January 6, 2017 - August 20, 2019
NEWBRIDGE SECURITIES CORPORATION
June 26, 2009 - December 16, 2016
LEGEND SECURITIES, INC.
June 1, 2009 - July 1, 2009
MORGAN STANLEY
March 8, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 4, 1990 - March 12, 2002
PERSHING LLC
October 7, 1985 - September 17, 1990
FINANCIAL SQUARE PARTNERS
November 12, 1984 - October 14, 1985
SCHRODER & CO. INC.
June 26, 1984 - November 20, 1984
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 3, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
April 7, 1977 - November 11, 1977
REYNOLDS SECURITIES, INC.
June 17, 1974 - May 19, 1977
E. F. HUTTON & COMPANY INC
September 4, 1973 - July 26, 1974
DEAN WITTER & CO. INCORPORATED
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
PC
Date: 11/13/1985
AMEX Put and Call ExamSeries 1
Date: 8/30/1973
Registered Representative ExaminationCurrent Firm
D. BORAL CAPITAL
CRD#: 103792 / SEC#: , 8-52280
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBCH PARTNERS LLC | SHAREHOLDER | |
| AGRAWAL, SHARAD | CHIEF TECHNOLOGY OFFICER | 5115964 |
| BORAL, DAVID WALTER | CHIEF EXECUTIVE OFFICER | 5340753 |
| MERLIN, JARED | CHIEF COMPLIANCE OFFICER | 4222427 |
| WHALEN, RYAN JAMES | GENERAL COUNSEL | 7457347 |
| WIEDERLIGHT, PHILIP | CHIEF OPERATING OFFICER | 5856024 |
| WILDER, BRADLEY STEPHEN | FINOP | 7497819 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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