Warren G. Mcdaniel
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.
Warren Garrett Mcdaniel, who also goes by Garrett Mcdaniel, W Garrett Mcdaniel Jr, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1982. Warren had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - July 26, 2013
ARGENTUS SECURITIES, LLC
March 2, 2010 - February 3, 2011
CLARK SECURITIES, INC.
October 5, 2006 - February 18, 2010
NEWPORT GROUP SECURITIES, INC.
November 18, 2005 - September 12, 2006
FAS CORP.
January 17, 2003 - November 3, 2005
BG WORLDWIDE SECURITIES, INC.
October 16, 2001 - December 31, 2002
MML INVESTORS SERVICES, LLC
July 9, 1998 - February 26, 2001
UBS FINANCIAL SERVICES INC.
October 27, 1995 - February 26, 1998
PRUDENTIAL EQUITY GROUP, LLC
June 8, 1995 - November 3, 1995
LEGG MASON WOOD WALKER, INCORPORATED
June 27, 1986 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 4, 1984 - July 11, 1986
ALEX. BROWN & SONS INCORPORATED
January 26, 1982 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/9/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 11/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARGENTUS SECURITIES, LLC
CRD#: 45915 / SEC#: , 8-51230
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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