Thomas P. Daniels
Professional summary
Thomas Patrick Daniels was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Thomas had worked at 4 firms, which includes PRINCETON CAPITAL MARKETS L.P., PRUDENTIAL EQUITY GROUP LLC, PERSHING LLC, CITICORP SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1997 - August 11, 1998
PRINCETON CAPITAL MARKETS, L.P.
August 16, 1993 - April 18, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 7, 1987 - December 14, 1988
PERSHING LLC
April 23, 1986 - February 19, 1993
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCETON CAPITAL MARKETS, L.P.
CRD#: 41773 / SEC#: , 8-49557
Contact information
Documents
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.
