Daniel P. Montone
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 Phillip Montone was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 4 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2015 - January 4, 2016
FIRST EMPIRE SECURITIES, INC.
March 5, 2009 - January 28, 2015
DOMINICK & DICKERMAN LLC
February 3, 2009 - March 4, 2009
WOLFE & HURST BOND BROKERS INC.
June 22, 1983 - November 12, 2007
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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