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FD

Ferrell E. Daste

REEF RESOURCES
Carmel, CA 93923
Some features on this profile are disabled
CRD#: 1423614
FD

Professional summary

Ferrell Emanuel Daste II is a registered financial professional currently at REEF RESOURCES, LLC located in Carmel, California.

Ferrell is registered as a RR (Registered Representative) and started their career in finance in 1985. Ferrell has worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 7, Series 55, Series 10, Series 9 and Series 24 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) - BD

Click below to view Ferrell Emanuel Daste II's CRS (Customer Relationship Summary).

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

Current

June 11, 2014 - Present

REEF RESOURCES, LLC

Office #1: 27161 Prado Del Sol, Carmel, CA 93923
BD
CRD#: 133646
Carmel, CA
Past

March 16, 2004 - April 8, 2008

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 16, 2003 - March 16, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 6, 2000 - March 19, 2004

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

May 28, 1999 - November 10, 2000

BNP PARIBAS BROKERAGE SERVICES, INC.

BD
CRD#: 31394
KING OF PRUSSIA, PA
Past

April 22, 1999 - May 25, 1999

ALLGEIER INVESTOR SERVICES, INC.

BD
CRD#: 38248
LOUISVILLE, KY
Past

January 5, 1996 - September 25, 1997

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

May 19, 1986 - March 3, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

April 3, 1986 - April 17, 1986

FIRST OF MICHIGAN CORPORATION

BD
CRD#: 311
Past

November 19, 1985 - December 21, 1985

TRAFALGAR SECURITIES CORP.

BD
CRD#: 15920

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/17/2014)
RR
Connecticut
(6/12/2014)
RR
Illinois
(6/17/2014)
RR
Massachusetts
(8/7/2014)
RR
New Jersey
(6/11/2014)
RR
New York
(6/17/2014)
RR
Texas
(6/17/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/17/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/5/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/16/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/6/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/5/2000
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 10
Date: 8/21/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/19/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RR
REEF RESOURCES, LLC
REEF RESOURCES, LLC

CRD#: 133646 / SEC#: , 8-66748

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

Main Address
140 Lakeside Avenue Suite 100, Seattle, WA 98122
Mailing Address
140 Lakeside Avenue Suite 100, Seattle, WA 98122
Phone number
(206) 686-6661
Established
Delaware since 07/12/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MYERS, ANDREW CHRISTOPHERCHIEF EXECUTIVE OFFICER
FEINGLAS, JEFFREY KENNETHFINOP/CHIEF COMPLIANCE OFFICER4618380

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

REEF RESOURCES, LLC

CRD#: 133646Carmel, CA 93923

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