Douglas S. Daffron
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.
Douglas Stephan Daffron, CFP®, who also goes by Douglas S. Daffron, Douglas Daffron, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2014. Douglas had worked at 3 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
Start date: 2018
Experience
May 13, 2019 - December 31, 2023
BSG ADVISERS
January 23, 2019 - May 6, 2019
FISCAL WISDOM WEALTH MANAGEMENT LLC
November 12, 2014 - December 28, 2015
MML INVESTORS SERVICES, LLC
October 4, 2014 - December 28, 2015
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
BSG ADVISERS
CRD#: 297243 / SEC#: 801-134480
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
BSG ADVISERS
CRD#: 297243 / SEC#: 801-134480
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 676 |
| AUM (Assets Under Management) | $ 134,763,000 |
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.
