Daniel E. Flesch
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 Eugene Flesch was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 5 firms and has passed the 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
March 13, 2006 - January 31, 2007
PETRA TRADING GROUP LLC
January 25, 2006 - February 17, 2006
CEDAR CREEK SECURITIES, INC.
March 2, 1998 - January 21, 1999
RBC CAPITAL MARKETS, LLC
December 11, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 30, 1992 - December 7, 1993
FREDERICK & COMPANY, 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
Current Firm
PETRA TRADING GROUP LLC
CRD#: 131347 / SEC#: , 8-66450
Contact information
Documents
Disclosures
| Regulatory Event | 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.
