Daniel J. Donovan
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 James Donovan was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2000 - August 26, 2022
CAPLIGHT MARKETS LLC
April 26, 1996 - April 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 1994 - January 24, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 1992 - April 26, 1994
CREDIT SUISSE SECURITIES (USA) LLC
October 9, 1991 - February 5, 1993
KENDALL PARTNERS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAPLIGHT MARKETS LLC
CRD#: 103970 / SEC#: , 8-52440
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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