Eduardo B. Daroza
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.
Eduardo Bruno Daroza JR was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 1977. Eduardo had worked at 6 firms and has passed the Series 7, Series 53 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
August 3, 1990 - January 28, 1991
KOCHCAPITAL
August 28, 1989 - July 9, 1990
KOCHCAPITAL
April 3, 1989 - December 18, 1989
BRIDGEROCK SECURITIES, INC.
March 14, 1985 - June 2, 1989
DAROZA ANDERSON, INC.
April 30, 1982 - March 25, 1985
L.F. ABBOTT SECURITIES, INC.
January 5, 1982 - May 26, 1982
KMS FINANCIAL SERVICES, INC.
July 1, 1977 - November 6, 1981
FOSTER & MARSHALL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOCHCAPITAL
CRD#: 21038 / SEC#: , 8-38918
Contact information
Documents
Red Flags
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