Daniel S. Goetzmann
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 Scott Goetzmann, who also goes by Dan Goetzmann, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 4 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2015 - September 30, 2015
HAZARD & SIEGEL, INC.
October 26, 1995 - September 2, 2014
LEIGH BALDWIN & CO., LLC
January 3, 1991 - September 27, 1995
MML INVESTORS SERVICES, LLC
September 6, 1989 - November 7, 1990
LINCOLN FINANCIAL DISTRIBUTORS, 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 62
Date: 10/22/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
