John T. Daniel
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.
John Tevia Daniel was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 12 firms and has passed the Series 63, Series 7, Series 15 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2009 - January 13, 2012
SP SECURITIES LLC
December 19, 2005 - September 5, 2007
STARLIGHT FUNDING INVESTMENTS, LLC
July 9, 2002 - December 15, 2003
BRISTOL INVESTMENT GROUP, INC.
December 8, 1998 - September 8, 1999
DABNEY FLANIGAN, LLC
September 29, 1995 - May 16, 1997
ROTH CAPITAL PARTNERS, LLC
August 5, 1994 - September 6, 1995
KFS BD, INC.
February 28, 1994 - July 14, 1994
AXIOM CAPITAL MANAGEMENT, INC.
September 15, 1993 - January 7, 1994
COLEMAN & COMPANY SECURITIES, INC.
August 26, 1988 - February 6, 1990
OSCAR GRUSS & SON INCORPORATED
February 8, 1988 - September 16, 1988
DOUGLAS STEWART INCORPORATED
February 27, 1986 - November 9, 1987
CIBC WORLD MARKETS CORP.
December 21, 1983 - July 15, 1985
SCHRODER & CO. INC.
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
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
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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