Daniel Uslander
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 Uslander was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 7 firms and has passed the Series 63, SIE, Series 34, Series 55, Series 7, Series 30, Series 53, Series 4 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
November 20, 2014 - September 13, 2016
J.H. DARBIE & CO., INC.
May 27, 2011 - November 5, 2014
LEK SECURITIES CORPORATION
May 6, 2008 - October 12, 2009
MARCO POLO SECURITIES INC.
April 26, 2006 - April 3, 2008
J.H. DARBIE & CO., INC.
October 22, 2004 - April 7, 2006
LIGHTSPEED TRADING, LLC
November 28, 2000 - November 5, 2003
CATALYST TRADING LLC
April 2, 1998 - November 30, 2000
GLOBALNETSECURITIES CORP.
August 8, 1996 - December 10, 1997
VISTA SECURITIES 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 55
Date: 2/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| 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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