Daniel D. Shea
Professional summary
Daniel Dennis Shea was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel Dennis Shea was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1983. Daniel had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2004 - October 9, 2009
QA3 FINANCIAL LLC
October 12, 2004 - October 9, 2009
QA3 FINANCIAL CORP.
May 8, 2003 - October 11, 2004
SECURITIES AMERICA ADVISORS, INC.
April 2, 2003 - October 11, 2004
SECURITIES AMERICA, INC.
June 19, 2002 - April 4, 2003
GREAT NORTHERN FINANCIAL SECURITIES, INC.
July 24, 2001 - July 16, 2002
FIRST MONTAUK SECURITIES CORP.
October 4, 2000 - July 24, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
May 31, 1994 - December 8, 2000
SECURITIES AMERICA, INC.
November 25, 1983 - December 31, 1993
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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