Daniel J. Faherty
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 John Faherty, who also goes by Daniel John Faherty Mr, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 10 firms and has passed the Series 63, 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
February 11, 2009 - December 21, 2012
P.J. ROBB VARIABLE, LLC
August 25, 2008 - January 12, 2009
WAMU INVESTMENTS, INC.
July 31, 2007 - February 5, 2008
EQUITABLE ADVISORS, LLC
April 5, 2007 - August 1, 2007
RNR SECURITIES, L.L.C.
January 8, 2007 - April 3, 2007
THE ROCKWELL FINANCIAL GROUP, INC.
June 9, 2005 - February 9, 2006
HSBC SECURITIES (USA) INC.
March 14, 2005 - May 20, 2005
SIGNATOR INVESTORS, INC.
October 20, 2004 - February 11, 2005
MML INVESTORS SERVICES, LLC
September 18, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
September 18, 1996 - August 20, 2004
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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