Adam W. Deffett
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.
Adam William Deffett, who also goes by Adam Deffett, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2005. Adam had worked at 5 firms and has passed the Series 63, SIE, Series 55 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
February 14, 2018 - October 8, 2019
LAURENTIAN CAPITAL (USA) INC
June 26, 2015 - May 31, 2017
DESJARDINS SECURITIES INTERNATIONAL INC.
November 7, 2012 - June 9, 2015
VIII CAPITAL CORP.
March 9, 2007 - October 26, 2012
PARADIGM CAPITAL U.S. INC.
November 25, 2005 - December 20, 2006
RBC CAPITAL MARKETS CORPORATION
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 55
Date: 11/29/2006
Limited Representative-Equity Trader ExamCurrent Firm
LAURENTIAN CAPITAL (USA) INC
CRD#: 171211 / SEC#: , 8-69450
Contact information
Documents
Direct owners and executive officers
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.
