Kevin C. Daniels
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.
Kevin Christian Daniels was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1990. Kevin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 55, Series 7 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
June 16, 2016 - December 31, 2016
SYMPHONY WEALTH MANAGEMENT
August 1, 2014 - May 10, 2016
LCG PCG
April 12, 2013 - May 10, 2016
LCG CAPITAL ADVISORS, LLC
June 30, 2010 - May 9, 2012
AXOS CLEARING LLC
July 27, 2009 - March 31, 2010
GUNNALLEN FINANCIAL, INC
December 4, 2003 - April 1, 2010
GUNNALLEN FINANCIAL, INC
January 2, 2003 - April 7, 2003
LAVAFLOW, INC.
October 29, 2002 - January 16, 2003
NEXTRADE
August 16, 1999 - August 9, 2002
RAYMOND JAMES & ASSOCIATES, INC.
August 26, 1996 - July 23, 1999
GEORGE K. BAUM & COMPANY
March 20, 1990 - August 22, 1996
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
SYMPHONY WEALTH MANAGEMENT
CRD#: 283794 / SEC#: 801-107877
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: 2/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
SYMPHONY WEALTH MANAGEMENT
CRD#: 283794 / SEC#: 801-107877
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 121,921,371 |
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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