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DB

Daniel A. Baffoe

Some features on this profile are disabled
CRD#: 1576280
DB

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 Anthony Baffoe was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

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)

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

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

Past

September 11, 2014 - July 30, 2015

BONWICK CAPITAL PARTNERS, LLC

BD
CRD#: 156469
CHICAGO, IL
Past

January 11, 2013 - October 4, 2013

TRADEPRO SECURITIES, LLC.

BD
CRD#: 103781
CHICAGO, IL
Past

October 3, 2011 - January 7, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

June 7, 2007 - November 2, 2010

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL
Past

January 22, 2007 - May 4, 2009

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
INDIANAPOLIS, IN
Past

October 2, 2006 - January 19, 2007

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
INDIANAPOLIS, IN
Past

June 14, 2005 - July 6, 2006

ARBOR RESEARCH & TRADING, LLC

BD
CRD#: 21313
CHICAGO, IL
Past

February 13, 2002 - July 1, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 10, 2001 - February 20, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 9, 1993 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

September 23, 1991 - January 15, 1993

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

January 18, 1990 - September 6, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

BD
CRD#: 23959
Past

April 11, 1988 - September 7, 1989

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL
Past

October 22, 1986 - March 7, 1988

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/3/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2012
General Securities Principal Examination

Current Firm

BC
BONWICK CAPITAL PARTNERS, LLC
BONWICK CAPITAL PARTNERS, LLC

CRD#: 156469 / SEC#: , 8-68796

BD
Terminated by SEC on 02/11/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WICKER, DEVIN LAMARRCEO/CFO, MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, AMLCO4228250
WICKER, DEVIN LAMARRROSFP4228250
WICKER, DEVIN LAMARRFINOP4228250
VALOR GROUP LTD.MEMBER
SILVERY FORTUNE HOLDINGS LIMITEDMEMBER
BEDROCK CAPITAL GROUP, LLCMEMBER

Disclosures

Regulatory Event4

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

BONWICK CAPITAL PARTNERS, LLC

CRD#: 156469

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