Kyle N. Farmer
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.
Kyle Nicol Farmer, who also goes by Kyle N. Farmer, was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2001. Kyle had worked at 5 firms and has passed the Series 66, SIE, 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
December 21, 2015 - July 18, 2018
DFPG INVESTMENTS, LLC
December 15, 2015 - July 18, 2018
DFPG INVESTMENTS, LLC
July 2, 2012 - December 21, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
July 7, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
June 3, 2010 - December 18, 2015
FIRST ALLIED SECURITIES, INC.
March 11, 2005 - June 11, 2010
MSI FINANCIAL SERVICES, INC.
November 7, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 7, 2001 - June 11, 2010
MSI FINANCIAL SERVICES, 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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
