Daniel F. Carlson
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 Frederick Carlson was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2018 - December 31, 2020
TAILWINDS RESEARCH GROUP
February 4, 2009 - June 15, 2010
TERRANOVA CAPITAL EQUITIES, INC
June 18, 2007 - January 28, 2009
VCS VENTURE SECURITIES
February 16, 2007 - March 8, 2007
AMERICAN UNION SECURITIES, INC.
May 12, 1994 - March 30, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TAILWINDS RESEARCH GROUP
CRD#: 297209 / SEC#:
Contact information
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.
