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Guy-Max Delphin

Delphin Investments

New York, NY

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Current Employers
Delphin Investments

New York, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-09-06
  • NY RA
    APPROVED
    Since 2024-09-06

Branch Locations

New York, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Delphin Investments New York NY 12/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-02-14
S63 Uniform Securities Agent State Law Examination 2001-06-21
  • S65 Uniform Investment Adviser Law Examination
    2009-02-14
  • S63 Uniform Securities Agent State Law Examination
    2001-06-21
Other Names
  • Guymax Delphin

View on SEC IAPD

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