Daniel P. Cannon
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2024 - October 24, 2024
CIM SECURITIES, LLC
September 29, 2022 - April 19, 2023
ALEXANDER CAPITAL, L.P.
December 9, 2019 - December 18, 2020
ALEXANDER CAPITAL, L.P.
November 19, 2019 - December 4, 2019
WORLD CHOICE SECURITIES, INC.
June 5, 2017 - August 6, 2019
OBERON SECURITIES, LLC
February 24, 2015 - March 20, 2017
BENJAMIN & JEROLD BROKERAGE I, LLC
March 18, 2013 - October 30, 2014
BOUSTEAD SECURITIES, LLC
April 21, 2009 - December 1, 2011
RIDGEWAY & CONGER, INC.
January 25, 1999 - March 28, 2002
INTERFIRST CAPITAL CORPORATION
July 13, 1998 - September 18, 1998
WALDRON & CO., INC.
September 25, 1997 - February 17, 1998
JOSEPH CHARLES & ASSOC., INC.
May 30, 1989 - July 29, 1989
DUNMAN RESOURCES, 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 22TO
Date: 3/14/2022
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 3/14/2022
General Securities Representative ExaminationSeries 79TO
Date: 3/14/2022
Investment Banking Registered Representative ExaminationCurrent Firm
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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