Daniel Bruce Asher
Professional Summary
Daniel Bruce Asher was a registered financial advisor. Daniel was a previously registered financial professional and started their career in finance 1991 - 2015. Daniel had worked at 7 firms and has passed the SIE exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
EQUITEC TRADING, LLC | PYRAMID EXECUTION DIVISION OF EQUITEC TRADING,LLC
Contact Information
Established
Illinois since 01/10/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITEC GROUP, LLC | MANAGING MEMBER | — |
| BARCLAY, DAVID JOSEPH | GENERAL COUNSEL | 2184305 |
| DANIEL ASHER ANNUITY TRUST LIII | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LVII | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LVIII | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LXIII | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LXIV | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LXV | MEMBER | — |
| DANIEL ASHER ANNUITY TRUST LXVI | MEMBER | — |
| GOLDMAN, FRED OWEN | CFO | 1857380 |
| GOLDMAN, FRED OWEN | CHIEF COMPLIANCE OFFICER | 1857380 |
| JOHN P LAROCQUE ANNUITY TRUST XXII | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXVI | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXVII | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXXII | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXXIII | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXXIV | MEMBER | — |
| JOHN P LAROCQUE ANNUITY TRUST XXXV | MEMBER | — |
| KUEHNER, CHRISTOPHER JOSEPH | COMPLIANCE | 2337409 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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