Kyle M. Dunphy
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 Michael Dunphy, who also goes by Kyle Dunphy, was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2004. Kyle had worked at 6 firms and has passed the Series 66 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
April 30, 2014 - January 15, 2016
EFG CAPITAL ADVISORS INC.
April 4, 2008 - November 18, 2011
EFG CAPITAL INTERNATIONAL
March 24, 2008 - November 6, 2014
EFG CAPITAL ADVISORS LLC
January 19, 2006 - March 31, 2006
MBSC, LLC
January 19, 2006 - March 31, 2006
MBSC, LLC
February 10, 2005 - August 26, 2005
UBS INTERNATIONAL INC.
February 10, 2005 - August 26, 2005
UBS INTERNATIONAL INC.
January 19, 2004 - February 10, 2005
UBS FINANCIAL SERVICES INC.
January 1, 2004 - February 10, 2005
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EFG CAPITAL ADVISORS INC.
CRD#: 112224 / SEC#: 801-32497
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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