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Daniel P. Cannon

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CRD#: 1952609
DC

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 Peter Cannon, who also goes by Dan Cannon, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 11 firms and has passed the Series 63, Series 66, Series 22TO, Series 7TO, Series 79TO, SIE, Series 79, Series 7, Series 22 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Dan Cannon

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

May 14, 2024 - October 24, 2024

CIM SECURITIES, LLC

BD
CRD#: 120852
PALMER, AK
Past

September 29, 2022 - April 19, 2023

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

December 9, 2019 - December 18, 2020

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

November 19, 2019 - December 4, 2019

WORLD CHOICE SECURITIES, INC.

BD
CRD#: 30933
COLUMBUS, OH
Past

June 5, 2017 - August 6, 2019

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

February 24, 2015 - March 20, 2017

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

March 18, 2013 - October 30, 2014

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

April 21, 2009 - December 1, 2011

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
CORAL SPRINGS, FL
Past

January 25, 1999 - March 28, 2002

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

July 13, 1998 - September 18, 1998

WALDRON & CO., INC.

BD
CRD#: 868
IRVINE, CA
Past

September 25, 1997 - February 17, 1998

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

May 30, 1989 - July 29, 1989

DUNMAN RESOURCES, INC.

BD
CRD#: 16799
TORRANCE, CA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 1/26/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 3/14/2022
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/14/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/14/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 24
Date: 11/27/1998
General Securities Principal Examination

Current Firm


CS
CIM SECURITIES, LLC
CIM SECURITIES, LLC

CRD#: 120852 / SEC#: , 8-65351

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information


Main Address
Tract B; Asls 77-149, Plat 79-3, Palmer, AK 99645
Mailing Address
Po Box 810, Willow, AK 99688
Phone number
(732) 966-9244
Established
Colorado since 03/21/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
CHOICE INVESTMENT MANAGEMENT LLCSHAREHOLDER
CONTE, ULDERICOREGISTERED PRINCIPAL2163160
EMERSON, BRYAN TILLERCEO, CCO, FINOP4155238

Disclosures


Regulatory Event4

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.

Company Information


CIM SECURITIES, LLC

CRD#: 120852

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