Deborah Ann Day
Professional Summary
Deborah Ann Day, who also goes by Debby Day, was a registered financial advisor. Deborah was a previously registered financial professional and started their career in finance 1981 - 2017. Deborah had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Debby Day
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339Phone Number
(800) 720-4003Established
Florida since 12/31/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
2,530Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | MEMBER | — |
| CHAFFEE, HAROLD GERARD | VP, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| ROSENTHAL, JEFFREY LIN | CEO/PRESIDENT AND DIRECTOR | 2474795 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory Assets Under Management
Total Number of Accounts
4,228AUM (Assets Under Management)
$1,106,198,778Disclosures
Regulatory Event
8Arbitration
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Mar 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1981About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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