Devon C. Speth
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.
Devon Charles Daniels Speth, who also goes by Devon Speth, Devon C Speth, was a registered financial professional .
Devon is a previously registered financial professional and started their career in finance in 2018. Devon had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2020 - April 30, 2020
INDEPENDENT BROKERAGE SOLUTIONS LLC
January 2, 2019 - September 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 26, 2018 - September 11, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/16/2018
General Securities Representative ExaminationCurrent Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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