Claude-andre Duquette
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.
Claude-andre Duquette was a registered financial professional .
Claude-andre is a previously registered financial professional and started their career in finance in 2001. Claude-andre had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2006 - September 11, 2019
BAADER HELVEA INC.
November 1, 2005 - April 3, 2006
DESJARDINS SECURITIES INTERNATIONAL INC.
December 1, 2004 - October 28, 2005
BAADER HELVEA INC.
March 22, 2001 - October 28, 2005
PICTET OVERSEAS 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
Series 55
Date: 10/1/2001
Limited Representative-Equity Trader ExamCurrent Firm
BAADER HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
Contact information
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
Red Flags
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