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Danton Lewis Harshfield

CRD# 1457001·Registered 1986 - 2007
Previously Registered: Being a previously registered professional could mean that Danton 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.

Professional Summary

Danton Lewis Harshfield, who also goes by Dan Harshfield, was a registered financial advisor. Danton was a previously registered financial professional and started their career in finance 1986 - 2007. Danton had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dan Harshfield

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

CNS SECURITIES, LLC·CRD# 130029
BD
Sherman, TX
November 29, 2006 - November 29, 2007
1ST DISCOUNT BROKERAGE, INC.·CRD# 39164
BD
Plano, TX
January 31, 2006 - July 7, 2006
BLUE MARBLE FINANCIAL, LLC·CRD# 103989
BD
Irving, TX
June 6, 2005 - August 19, 2005
SECU BROKERAGE SERVICES·CRD# 19899
BD
Raleigh, NC
March 18, 1998 - March 30, 2005
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
April 18, 1996 - February 2, 1998
FIRST COMMERCIAL INVESTMENTS, INC.·CRD# 30542
BD
Little Rock, AR
June 18, 1993 - March 18, 1996
NATIONSSECURITIES·CRD# 32542
BD
June 7, 1993 - June 25, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
September 8, 1992 - June 7, 1993
SECURITIES MANAGEMENT & RESEARCH, INC.·CRD# 759
BD
Cedar Rapids, IA
June 25, 1992 - August 21, 1992
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Memphis, TN
May 8, 1989 - June 15, 1990
T. J. RANEY & SONS, INC.·CRD# 3128
BD
December 12, 1988 - May 8, 1989
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
May 9, 1988 - December 14, 1988
T. J. RANEY & SONS, INC.·CRD# 3128
BD
July 23, 1986 - May 8, 1989

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Current Firm

CS
CNS SECURITIES, LLC

CNS SECURITIES, LLC

CRD#: 130029 / SEC#: 8-66293
BD
Terminated by SEC on 08/26/2024

Contact Information

Established

Texas since 06/24/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
SIFUENTES, CHRISTOPHERMEMBER, PRESIDENT, ACO1705346
AMSBERRY, RICHARD FFINOP2917504
FISHER, TIFFANY ANNCCO2798227

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1996About the Series 24 exam

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CRS (Client Relationship Summary)

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

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DH
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