Daniel C. Briggs
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 Craig Briggs, who also goes by Daniel C Briggs, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 5 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2000 - January 26, 2026
NATIXIS SECURITIES AMERICAS LLC
September 8, 1997 - July 27, 1999
COWEN AND COMPANY
September 27, 1994 - January 13, 1998
SOCGEN-CROSBY SECURITIES INC.
June 28, 1990 - June 9, 1994
COMMERZBANK CAPITAL MARKETS CORP.
August 27, 1987 - April 27, 1990
THOMSON MCKINNON SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| FARRELL, JOHN | PRINCIPAL OPERATIONS OFFICER | 5996161 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MAO, YUAN-PEI | CHIEF COMPLIANCE OFFICER | 1288447 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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