Daniel B. Asher
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 Asher was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 7 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2011 - January 2, 2015
EQUITEC TRADING, LLC
April 27, 2011 - November 6, 2017
SPHINX TRADING, LP
April 27, 2011 - December 26, 2017
EQUITEC PROPRIETARY MARKETS, LLC
August 13, 2010 - November 3, 2017
RQD* CLEARING, LLC
March 8, 2007 - October 14, 2010
COMPASS PROFESSIONAL SERVICES EAST, LLC
January 3, 2007 - July 26, 2007
EQUITEC NEW YORK, LLC
October 18, 1991 - August 12, 1994
KESSLER ASHER CLEARING L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
EQUITEC TRADING, LLC
CRD#: 120636 / SEC#: , 8-65327
Contact information
Documents
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 | 7 |
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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