Daniel A. Wakefield
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 Alan Wakefield, who also goes by Dan Wakefield, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 9 firms and has passed the Series 63 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
March 10, 2006 - July 24, 2006
QUANTUM SECURITIES, INC.
November 4, 2004 - December 31, 2005
QUANTUM SECURITIES, INC.
May 25, 2001 - September 3, 2004
MILKIE/FERGUSON INVESTMENTS, INC.
October 13, 2000 - May 4, 2001
HILLTOP SECURITIES INC.
September 1, 1999 - October 23, 2000
JOSEPHTHAL & CO., INC.
February 5, 1998 - August 23, 1999
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 1993 - January 29, 1998
J.P. MORGAN SECURITIES LLC
May 10, 1990 - January 11, 1993
MORGAN STANLEY DW INC.
May 14, 1988 - March 29, 1990
LEHMAN BROTHERS INC.
September 24, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
QUANTUM SECURITIES, INC.
CRD#: 130224 / SEC#: , 8-66316
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1ST CAPITAL LENDING, LLC | OWNER | |
| WILSON, ROBERT JOSEPH | CFO AND CCO | 1611118 |
Disclosures
| Regulatory Event | 2 |
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.
