Daniel B. Doe
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 Brian Doe was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 14, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2012 - March 13, 2013
MORGAN KEEGAN & COMPANY, LLC
August 16, 2012 - March 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 17, 2004 - October 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
July 8, 1993 - October 12, 2020
RAYMOND JAMES & ASSOCIATES, 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
Series 7TO
Date: 8/17/2022
General Securities Representative ExaminationSeries 79TO
Date: 8/17/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 8/17/2022
Operations Professional ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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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