Daniel R. Carrigan
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 Ralph Carrigan was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2014 - June 25, 2021
EXECUTION ACCESS, LLC
November 25, 2013 - September 6, 2016
NASDAQ EXECUTION SERVICES, LLC
November 29, 2010 - April 4, 2014
NASDAQ CAPITAL MARKETS ADVISORY LLC
April 26, 2000 - February 4, 2002
NEWEDGE FINANCIAL INC.
May 8, 1999 - January 21, 2000
ABN AMRO INCORPORATED
June 17, 1993 - July 1, 1999
FINACOR VENDOME INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/17/2023
General Securities Representative ExaminationSeries 8
Date: 5/14/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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