Daphne R. Brandt
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.
Daphne Renea Brandt, who also goes by Daphne Renea Berrie, Daphne Renea Edwardson, was a registered financial professional .
Daphne is a previously registered financial professional and started their career in finance in 2001. Daphne had worked at 3 firms and has passed the Series 66, Series 99TO, Series 7TO, 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
August 5, 2005 - March 10, 2021
PURSHE KAPLAN STERLING INVESTMENTS
December 19, 2001 - July 28, 2005
IDS LIFE INSURANCE COMPANY
December 19, 2001 - July 28, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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