Andrea Duguet
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.
Andrea Duguet was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 2009. Andrea had worked at 7 firms and has passed the Series 63, 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
November 17, 2016 - March 7, 2019
EXANE, INC.
September 16, 2014 - October 21, 2016
MACQUARIE CAPITAL (USA) INC.
July 29, 2013 - September 5, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
January 7, 2013 - May 23, 2013
MAXIM GROUP LLC
July 9, 2012 - January 9, 2013
TULLETT PREBON FINANCIAL SERVICES LLC
November 10, 2010 - October 26, 2011
CITADEL SECURITIES LLC
July 13, 2010 - October 15, 2010
MORGAN STANLEY
April 23, 2009 - June 21, 2010
GFI SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EXANE, INC.
CRD#: 41784 / SEC#: , 8-49569
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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