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DD

Douglas W. Daniels

Some features on this profile are disabled
CRD#: 1345341
DD

Professional summary

Douglas William Daniels was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Douglas had worked at 5 firms, which includes IFMG SECURITIES INC., EQUITABLE ADVISORS LLC, RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, BROAD REACH CAPITAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

D J Daniels

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

May 31, 2001 - July 15, 2004

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

January 27, 2000 - June 19, 2001

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

January 4, 1999 - December 21, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

June 8, 1990 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
Past

March 10, 1989 - June 12, 1990

BROAD REACH CAPITAL, INC.

BD
CRD#: 10045
Past

April 11, 1988 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

August 20, 1985 - June 12, 1990

BROAD REACH CAPITAL, INC.

BD
CRD#: 10045

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
IAR
Series 65
Date: 3/14/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1985
General Securities Representative Examination

Current Firm

IS
IFMG SECURITIES, INC.
IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: , 8-30670

BD
Terminated by SEC on 11/09/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event5
Arbitration4

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

IFMG SECURITIES, INC.

CRD#: 14416

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