Daphne L. Haddock
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 Lyanne Haddock, who also goes by Daphne Lyanne Ronsil-haddock, was a registered financial professional .
Daphne is a previously registered financial professional and started their career in finance in 2003. Daphne had worked at 3 firms and has passed the Series 63, 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
July 15, 2013 - February 6, 2018
MARKETAXESS CORPORATION
November 16, 2004 - June 15, 2012
BARCLAYS CAPITAL INC.
April 24, 2003 - November 5, 2004
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
