Daniel C. Richards
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 Cleveland Richards, who also goes by Daniel Cleavland Richards, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 13 firms and has passed the Series 66, 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
August 21, 2015 - July 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2015 - July 1, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2014 - May 23, 2015
BONWICK CAPITAL PARTNERS, LLC
July 2, 2013 - April 14, 2014
MORGAN STANLEY
June 24, 2013 - April 14, 2014
MORGAN STANLEY
November 1, 2010 - April 18, 2011
VCG SECURITIES, LLC
March 10, 2010 - June 29, 2010
CANACCORD GENUITY SECURITIES LLC
July 16, 2009 - March 23, 2010
MCMAHAN SECURITIES CO. L.P.
December 9, 2002 - August 15, 2008
ISI CAPITAL, LLC
March 12, 2002 - October 17, 2002
BGC FINANCIAL, L.P.
September 18, 2000 - March 15, 2002
NEWOAK CAPITAL MARKETS LLC
June 15, 1998 - July 7, 1999
UBS FINANCIAL SERVICES INC.
December 4, 1997 - June 22, 1998
BELLE HAVEN INVESTMENTS, L.P.
May 8, 1995 - June 3, 1996
ALEX. BROWN & SONS INCORPORATED
November 18, 1986 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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: 8/1/2007
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
