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DH

Daniel L. Hess

Some features on this profile are disabled
CRD#: 1341562
DH

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 Lawrence Hess was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 5, 2016 - May 4, 2017

CHURCHILL CAPITAL USA, INC.

BD
CRD#: 143278
NEW YORK, NY
Past

January 21, 2013 - November 2, 2015

JONESTRADING

BD
CRD#: 6888
COS COB, CT
Past

June 24, 2010 - October 1, 2012

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

January 12, 2004 - April 12, 2004

MLP TRADING CO LLC

BD
CRD#: 18427
NEW YORK, NY
Past

December 11, 2003 - December 21, 2005

MILLENCO LLC

BD
CRD#: 33726
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2010
General Securities Representative Examination

Current Firm

CC
CHURCHILL CAPITAL USA, INC.
CHURCHILL CAPITAL USA, INC.

CRD#: 143278 / SEC#: , 8-67547

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
10 East 53rd Street 17th Floor, New York, NY 10022
Mailing Address
10 East 53rd Street 17th Floor, New York, NY 10022
Phone number
(212) 994-4990
Established
New York since 08/28/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHURCHILL CAPITAL LTD.OWNER
ALMERINI, LOUIS ACHILLEFINOP1605183
COHEN, RONENCHIEF EXECUTIVE OFFICER2814070
LANDAU, DANIELLECHIEF COMPLIANCE OFFICER4671417

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.

Company Information

CHURCHILL CAPITAL USA, INC.

CRD#: 143278

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