Daniel E. Ladley
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 Edward Ladley was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - October 14, 2014
STERNE, AGEE & LEACH, INC.
July 15, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
December 15, 2005 - August 15, 2013
J.P. MORGAN SECURITIES LLC
November 6, 2003 - November 8, 2005
NORTHEAST SECURITIES, LLC
April 1, 2002 - November 4, 2003
COWEN EXECUTION SERVICES LLC
June 26, 1989 - April 1, 2002
AUTRANET, LLC
October 19, 1988 - November 15, 1988
J. T. MORAN & CO., INC.
July 25, 1987 - April 28, 1988
FUNDAMENTAL BROKERS
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
