Daniel H. Burr
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 Homer Burr, who also goes by Daniel H Burr, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2008 - November 19, 2013
EK RILEY INVESTMENTS, LLC
July 11, 2005 - December 31, 2007
EK RILEY ADVISORS, LLC
July 11, 2005 - November 19, 2013
EK RILEY INVESTMENTS, LLC
March 2, 1998 - July 21, 2005
RBC CAPITAL MARKETS, LLC
September 9, 1996 - July 21, 2005
RBC CAPITAL MARKETS, LLC
October 27, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 10, 1988 - November 3, 1994
KIDDER, PEABODY & CO. INCORPORATED
July 26, 1984 - May 20, 1988
LEHMAN BROTHERS 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
Current Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
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.
