Daniel J. Cantor
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 Jay Cantor was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2016 - September 15, 2017
NATIONWIDE SECURITIES, LLC
May 13, 2016 - September 15, 2017
NATIONWIDE SECURITIES, LLC
March 16, 2015 - December 31, 2015
PFS INVESTMENTS INC.
June 20, 2014 - November 7, 2014
EQUITY SERVICES, INC.
June 2, 2014 - November 7, 2014
EQUITY SERVICES, INC.
June 14, 2013 - April 16, 2014
MML INVESTORS SERVICES, LLC
November 17, 2011 - April 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 17, 2011 - April 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2007 - May 23, 2011
TD AMERITRADE, INC.
September 13, 2007 - May 23, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 13, 2007 - May 23, 2011
TD AMERITRADE, INC.
May 20, 2005 - August 9, 2007
VALIC FINANCIAL ADVISORS, INC.
September 9, 2004 - May 24, 2005
BERNARD HEROLD & CO., INC.
October 8, 1997 - December 9, 2002
MORGAN STANLEY DW INC.
April 10, 1997 - October 23, 1997
SECWEST SECURITIES, INC.
March 17, 1990 - December 4, 1996
CHURCHILL SECURITIES, INC.
July 7, 1989 - January 27, 1990
DAVID LERNER ASSOCIATES, INC.
June 19, 1989 - July 25, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 19, 1989 - July 25, 1989
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
Current Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
