Elsie K. Devan
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.
Elsie K Devan was a registered financial professional .
Elsie is a previously registered financial professional and started their career in finance in 1964. Elsie had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1973 - February 8, 2006
FINANCIAL AMERICA SECURITIES, INC.
June 28, 1973 - November 11, 1973
COMSTOCK INVESTMENTS, INC.
September 3, 1964 - March 18, 1974
DISBRO & CO
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
FINANCIAL AMERICA SECURITIES, INC.
CRD#: 5100 / SEC#: , 8-15719
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
