DFC INVESTOR SERVICES
CRD #18558 SEC #801-66862 IRVINE, CA 949-474-4900
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
51
Clients
0
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 23, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BETTFREUND, JOHN WAYNE JR | I | CHIEF COMPLIANCE OFFICER | NA | |
| BETTFREUND, JOHN WAYNE JR | I | CHIEF COMPLIANCE OFFICER | NA | |
| CALLEN, DOUGLAS BRAD | I | CHIEF OPERATING OFFICER, SVP | NA | Control |
| CALLEN, DOUGLAS BRAD | I | CHIEF OPERATING OFFICER, SVP | NA | Control |
| KMEC, JAMES FRANCIS | I | TREASURER | NA | Control |
| DFC GROUP INC. | DE | HOLDING COMPANY | E | Control |
| DFC GROUP INC. | DE | HOLDING COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BNP PARIBAS ASSURANCE | FE | CARDIF SA | E | Control |
| BNP PARIBAS ASSURANCE | FE | CARDIF SA | E | Control |
| CARDIF HOLDINGS INCORPORATED | FE | DFC GROUP INC. | E | Control |
| CARDIF HOLDINGS INCORPORATED | FE | DFC GROUP INC. | E | Control |
| BNP PARIBAS S.A. | FE | BNP PARIBAS ASSURANCE | D | Control |
| BNP PARIBAS S.A. | FE | BNP PARIBAS ASSURANCE | D | Control |
| CARDIF S.A. | FE | CARDIF HOLDINGS INC. | D | Control |
| CARDIF S.A. | FE | CARDIF HOLDINGS INC. | D | Control |
| CARDIF PINNACLE INSURANCE HOLDINGS | FE | CARDIF HOLDINGS INC. | C | Control |
| CARDIF PINNACLE INSURANCE HOLDINGS | FE | CARDIF HOLDINGS INC. | C | Control |
| SFA | FE | BNP PARIBAS ASSURANCE | C | Control |
| SFA | FE | BNP PARIBAS ASSURANCE | C | Control |
Registrations
Federal
IA
Jan 23, 2007 REGISTERED
Notice Filings (37)
AZ CA CO DC FL HI IA ID IL IN KS KY LA MD MI MN MO MS NC ND NM NV NY OH OK OR PA RI SC SD TN TX UT VA WA WI WV
Address
19800 MACARTHUR BLVD.SUITE 250
IRVINE, CA 92612
USA
Phone: 949-474-4900