Daniel R. Irvin
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 Russell Irvin, who also goes by Daniel R Irvin, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
February 10, 2014 - August 18, 2014
CAPITAL SECURITY ADVISORS LLC
January 16, 2006 - October 30, 2006
UBS SECURITIES LLC
August 13, 1991 - January 16, 2006
UBS FINANCIAL SERVICES INC.
December 19, 1990 - June 6, 1991
CHASE SECURITIES, INC.
December 23, 1988 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
May 8, 1986 - April 9, 1988
CREDIT SUISSE SECURITIES (USA) LLC
April 23, 1985 - May 8, 1986
MORGAN STANLEY & CO. LLC
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
CAPITAL SECURITY ADVISORS LLC
CRD#: 170059 / SEC#: 802-80250
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 1/26/2015 |
| Massachusetts | ERA - Withdrawn | 11/4/2020 |
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.
