Daniel B. Goodwin
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 Bruce Goodwin, who also goes by Daniel B Goodwin, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2020 - November 16, 2020
DIGITAL CAPITAL MARKETS LLC
September 4, 2012 - July 24, 2013
HILLTOP SECURITIES INC.
November 1, 2010 - August 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1997 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
September 14, 1993 - November 9, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
November 22, 1989 - August 8, 1990
UBS FINANCIAL SERVICES 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
Series 7TO
Date: 8/25/2020
General Securities Representative ExaminationCurrent Firm
DIGITAL CAPITAL MARKETS LLC
CRD#: 298311 / SEC#: , 8-70183
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARNETT, GARY | CEO, CCO | |
| HELLER, JEFFREY PHILIP | FINOP | 3139370 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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