Daniel D. Dutcher
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 David Dutcher was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1988. Daniel had worked at 9 firms and has passed the Series 63, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2012 - February 20, 2014
B. RILEY SECURITIES, INC.
July 2, 2012 - October 24, 2012
AEGIS CAPITAL CORP.
December 6, 2011 - December 23, 2011
CANACCORD GENUITY SECURITIES LLC
April 10, 2006 - March 19, 2012
MORGAN JOSEPH TRIARTISAN LLC
December 18, 2002 - February 28, 2006
ADVEST, INC.
September 26, 2000 - October 17, 2001
CANACCORD GENUITY LLC
May 25, 2000 - June 26, 2000
DEUTSCHE BANK SECURITIES INC.
August 16, 1996 - May 23, 2000
ADVEST, INC.
April 5, 1996 - September 30, 1996
OSAIC WEALTH, INC.
June 21, 1988 - April 29, 1994
C. L. KING & 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
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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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