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PD

Pal H. Dahl

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CRD#: 6127908
PD

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.

Pal H Dahl, who also goes by Pal H Dahl Mr, was a registered financial professional .

Pal is a previously registered financial professional and started their career in finance in 2012. Pal had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Pal H Dahl Mr

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

December 13, 2012 - February 21, 2017

SWEDBANK SECURITIES US, LLC

BD
CRD#: 141190
OSLO,

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 3/14/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam

Current Firm


SS
SWEDBANK SECURITIES US, LLC
SWEDBANK FIRST SECURITIES, LLC | SWEDBANK SECURITIES US, LLC

CRD#: 141190 / SEC#: , 8-67369

BD
Terminated by SEC on 12/11/2020
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Contact information


Main Address
Mailing Address
Phone number
Established
New York since 01/24/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
SWEDBANK ABMEMBER
COLOMBO, DOUGLASCHIEF COMPLIANCE OFFICER1858351
HURD, JONATHAN SCOTTFINOP/PFO/POO4159864
MATTHEWS, JOHNPRESIDENT AND CEO2629122

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.

Company Information


SWEDBANK SECURITIES US, LLC

CRD#: 141190

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