Daniel R. Breig
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 Richard Breig, who also goes by Dan Breig, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 6 firms and has passed the Series 63, Series 6 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
June 6, 1994 - June 30, 1999
WMA SECURITIES, INC.
December 15, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 18, 1992 - December 31, 1992
AMERICAN CAPITAL CORPORATION
December 23, 1991 - December 31, 1991
AMERICAN CAPITAL CORPORATION
April 11, 1989 - August 11, 1989
UBS FINANCIAL SERVICES INC.
March 18, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
July 22, 1987 - March 25, 1988
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| 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.
