Adam C. Sdao
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 Charles Sdao, who also goes by Adam Charles S'dao, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2009. Adam had worked at 6 firms and has passed the Series 99TO, 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
September 3, 2021 - September 13, 2021
DALMORE GROUP LLC
July 20, 2021 - July 26, 2021
EXECUTION ACCESS, LLC
September 9, 2013 - July 26, 2021
DEALERWEB LLC
September 3, 2013 - September 9, 2013
TRADEWEB LLC
August 10, 2009 - August 28, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
March 30, 2009 - August 7, 2009
ICAP SECURITIES USA 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 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.
