Sunil L. D'souza
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.
Sunil Louey D'souza, who also goes by Sunil Louey D Souza, Sunhil L D' Souza, Sunil L D' Souza, Sunil Louey D' Souza, Sunil Dsouza, was a registered financial professional .
Sunil is a previously registered financial professional and started their career in finance in 2003. Sunil had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - February 22, 2016
ACADEMY SECURITIES, INC.
April 20, 2015 - October 19, 2015
PENSERRA SECURITIES, LLC
November 9, 2009 - December 31, 2010
MORGAN STANLEY & CO. LLC
November 5, 2009 - May 28, 2014
MORGAN STANLEY & CO. LLC
June 21, 2005 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2005 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2003 - March 1, 2005
FTN EQUITY CAPITAL MARKETS CORP.
August 8, 2003 - September 24, 2003
NORTHWESTERN MUTUAL INVESTMENT 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
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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