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Frank Dyer

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CRD#: 74429
FD

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.

Frank Dyer III was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 2 firms and has passed the Series 1 and Series 40 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 1975 - September 15, 1999

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

April 3, 1969 - March 1, 1976

ROBERT GREEN & COMPANY INC

BD
CRD#: 1000002

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
Series 1
Date: 3/23/1960
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/27/1972
Registered Principal Examination

Current Firm

DI
DEUTSCHE IXE, LLC
DEUTSCHE IXE, LLC | SHERWOOD SECURITIES CORP. | NDBCM, LLC | NDBCM LLC | NDB CAPITAL MARKETS, LP | NDB CAPITAL MARKETS, L.P. | NDB CAPITAL MARKETS CORPORATION

CRD#: 7172 / SEC#: , 8-13967

BD
Terminated by SEC on 03/31/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/20/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IXE SECURITIES, INC.MEMBER
NDB CAPITAL MARKETS CORPORATIONMEMBER
DE SAN, PATRICKCHIEF COMPLIANCE OFFICER2371051
DE SAN, PATRICKCHIEF FINANCIAL OFFICER/FINOP2371051
DERHALLI, KERIM RICHARDMANAGER2187407
HOPE, RUPERT DICKIEMANAGER2598323
HORCASITAS, JAVIER MOLINARMANAGER4678281
NARANJO, MAURICIOMANAGER5070130
PONS, JOSE IGNACIO DE ABIEGAMANAGER4678290
SANCHEZ-MEJORADA, ENRIQUE CASTILLOMANAGER4678285

Disclosures

Regulatory Event32
Arbitration2

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

DEUTSCHE IXE, LLC

CRD#: 7172

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