Daniel Baldwin
Professional summary
Daniel Baldwin JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Daniel had worked at 2 firms, which includes PERCIVAL FINANCIAL PARTNERS LTD., THE CHAPMAN CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2005 - January 19, 2006
PERCIVAL FINANCIAL PARTNERS, LTD.
March 21, 1989 - July 27, 2005
THE CHAPMAN CO.
State Registrations and Notice Filings
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Exams
Current Firm
PERCIVAL FINANCIAL PARTNERS, LTD.
CRD#: 41813 / SEC#: , 8-49577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAYLOR, KENNETH PERCIVAL SR | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP | 2166330 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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