Deborah E. Holmes
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.
Deborah E Holmes, who also goes by Deborah Elaine Bordeleau, Deborah Bordeleau, Deborah Elaine Holmes, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2010. Deborah had worked at 4 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
August 11, 2015 - January 29, 2018
BRUCE A. LEFAVI SECURITIES, INC.
June 26, 2012 - April 2, 2014
GOLDMAN SACHS & CO. LLC
April 25, 2012 - July 13, 2012
MORGAN STANLEY
July 25, 2011 - July 13, 2012
MORGAN STANLEY
February 5, 2010 - March 14, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BRUCE A. LEFAVI SECURITIES, INC.
CRD#: 10684 / SEC#: , 8-26943
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
