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Daniel E. Halligan

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CRD#: 1085615
DH

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.

Daniel Edward Halligan was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 6 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7, Series 53, Series 24, Series 27 and Series 8 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

October 6, 1989 - August 6, 1990

TERRAN SECURITIES, INC.

BD
CRD#: 17783
Past

August 16, 1988 - April 5, 1989

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

March 7, 1988 - September 19, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

December 18, 1987 - April 5, 1988

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

August 8, 1986 - February 18, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

July 30, 1986 - August 4, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 16, 1983 - September 19, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 22, 1982 - October 21, 1983

FOSTER & MARSHALL INC.

BD
CRD#: 321

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

State Security Law Exam
RR
Series 63
Date: 1/6/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 11/8/1984
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 6/6/1983
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 1/17/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/5/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/12/1989
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TS
TERRAN SECURITIES, INC.
ELTON JOHNSON SECURITIES | WESTERN RESERVE SECURITIES, INC. | TERRAN SECURITIES, INC. | FAR WEST SECURITIES

CRD#: 17783 / SEC#: , 8-40082

BD
Expelled by FINRA on 11/12/1991
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 12/02/1987
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

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

TERRAN SECURITIES, INC.

CRD#: 17783

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