Dayne A. Pfaff
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.
Dayne Austin Pfaff, who also goes by Dayne Austin, Dayne Pfaff, was a registered financial advisor .
Dayne is a previously registered financial advisor and started their career in finance in 2006. Dayne had worked at 7 firms and has passed the Series 66, 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
June 25, 2015 - August 26, 2015
CERTUSSECURITIES, INC.
May 9, 2013 - May 16, 2014
DINOSAUR FINANCIAL GROUP, L.L.C
February 22, 2013 - July 11, 2014
ALPHA STRATEGIES INVESTMENT CONSULTING
November 2, 2011 - May 8, 2012
DUNHAM
November 1, 2011 - May 8, 2012
DUNHAM
June 30, 2010 - January 26, 2011
WADDELL & REED
June 29, 2010 - January 26, 2011
WADDELL & REED
January 7, 2008 - June 30, 2009
NEWPORT COAST SECURITIES, INC.
July 18, 2007 - June 30, 2009
NEWPORT COAST SECURITIES, INC.
December 16, 2006 - July 26, 2007
WORLD GROUP SECURITIES, 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
CERTUSSECURITIES, INC.
CRD#: 144051 / SEC#: , 8-67627
Contact information
Documents
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.
