Simon Dobas
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.
Simon Dobas was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2017. Simon had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2017 - October 21, 2021
PARETO SECURITIES INC.
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
PARETO SECURITIES INC.
CRD#: 44734 / SEC#: , 8-50796
Contact information
FINRA licenses (24 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARETO SECURITIES AS | STOCKHOLDER | |
| ALFHEIM, NIKLAS REINHOLD | HEAD OF FIXED INCOME SALES | 7593087 |
| DUHONJ, BORJAN NMN | HEAD OF EQUITY SALES & TRADING | 6869523 |
| HAAVALDSEN, EIRIK NMN | DIRECTOR | 7644368 |
| JOMAAS, CHRISTIAN NMN | DIRECTOR | 7182355 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| SPAVENTA, ANTONELLA NMN | CEO, POO & CHIEF COMPLIANCE OFFICER | 4441100 |
| ULLNER, KARL HENRIK | REGISTERED PRINCIPAL | 2860967 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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