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MT

Maxime Theoret

DEALER SOLUTIONS NORTH AMERICA LLC
New York, NY 10004
Some features on this profile are disabled
CRD#: 7025058
MT

Professional summary

Maxime Theoret is a registered financial professional currently at DEALER SOLUTIONS NORTH AMERICA LLC located in New York, New York.

Maxime is registered as a RR (Registered Representative) and started their career in finance in 2018. Maxime has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Maxime Theoret's CRS (Customer Relationship Summary).

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

Current

December 12, 2018 - Present

DEALER SOLUTIONS NORTH AMERICA LLC

Office #1: 42 Broadway, Suite 12-129, New York, NY 10004
BD
CRD#: 286268
New York, NY

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

General Industry/Product Exam
RR
SIE
Date: 12/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DEALER SOLUTIONS NORTH AMERICA LLC
DEALER SOLUTIONS NORTH AMERICA LLC | ILIAD SECURITIES LLC

CRD#: 286268 / SEC#: , 8-69874

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
42 Broadway, Suite 12-129, New York, NY 10004
Mailing Address
42 Broadway, Suite 12-129, New York, NY 10004
Phone number
(212) 796-1531
Established
New York since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEALER SOLUTIONS USA INC.OWNER
GLS CAPITAL HOLDINGS LLCOWNER
SIPINICK, KATHY EFREMCFO/FINOP3248100
VERDONE, JAMES JOSEPHCEO/CCO2581251

Disclosures

Regulatory Event1

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

DEALER SOLUTIONS NORTH AMERICA LLC

CRD#: 286268New York, NY 10004

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