Daniel J. Avant
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 Joseph Avant, who also goes by Dan Avant, Danny Avant, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1988. Daniel had worked at 8 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 1994 - September 22, 1999
D.E. FREY & COMPANY, INC.
March 17, 1994 - April 4, 1994
D.E. FREY & COMPANY, INC.
December 9, 1992 - March 15, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
April 19, 1991 - January 28, 1992
LEHMAN BROTHERS INC.
September 4, 1990 - May 1, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 9, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
February 28, 1989 - September 25, 1990
CIBC WORLD MARKETS CORP.
January 6, 1989 - March 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1988 - October 21, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
May 25, 1988 - September 25, 1990
CIBC WORLD MARKETS CORP.
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
Current Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
