Daniel E. Kern
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 Edward Kern, who also goes by Daniel Edward Ken, Dan Edward Kern, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, 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
June 25, 2018 - July 24, 2020
EMERSON EQUITY LLC
June 25, 2018 - July 24, 2020
EMERSON EQUITY LLC
October 10, 2014 - June 27, 2016
WILSON-DAVIS & CO., INC.
November 16, 2007 - January 2, 2013
WILSON-DAVIS & CO., INC.
January 25, 2005 - March 21, 2006
ACCELERATED CAPITAL GROUP
September 12, 2003 - November 8, 2007
KERN ASSET MANAGEMENT LLC
September 30, 2002 - February 24, 2003
J.P. TURNER & COMPANY, L.L.C.
August 2, 1994 - September 30, 2002
SCHNEIDER SECURITIES, INC.
February 4, 1991 - July 28, 1994
PAULSON INVESTMENT COMPANY LLC
August 31, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
February 20, 1990 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
June 16, 1989 - February 22, 1990
LEHMAN BROTHERS INC.
July 30, 1986 - June 23, 1989
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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 55
Date: 6/13/2005
Limited Representative-Equity Trader ExamCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
