Daniel C. Dorrill
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 Charles Dorrill, who also goes by Dan Dorrill, Daniel C Dorrill, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1988. Daniel had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2007 - October 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 20, 2003 - October 3, 2006
WALL STREET FINANCIAL GROUP, INC.
January 22, 2001 - April 7, 2003
FIRST HORIZON ADVISORS, INC.
September 4, 1997 - January 25, 2001
ROBERT W. BAIRD & CO. INCORPORATED
September 28, 1995 - February 8, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 11, 1993 - September 1, 1995
MML INVESTORS SERVICES, LLC
March 1, 1988 - March 1, 1993
METROPOLITAN LIFE INSURANCE COMPANY
March 1, 1988 - March 1, 1993
MSI FINANCIAL SERVICES, 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 12
Date: 5/4/1998
NYSE Branch Manager ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
