Daniel Fishbaine
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 Fishbaine, who also goes by Dan Fishbaine, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2015 - September 6, 2017
COUNTRY CAPITAL MANAGEMENT COMPANY
April 29, 2014 - July 29, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
September 17, 2012 - April 29, 2014
VOYA FINANCIAL ADVISORS, INC.
June 16, 2011 - September 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 14, 2011 - September 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2007 - December 16, 2009
CETERA INVESTMENT SERVICES LLC
April 10, 2007 - December 16, 2009
CETERA INVESTMENT SERVICES LLC
August 25, 2005 - April 13, 2007
1ST DISCOUNT BROKERAGE, INC.
January 1, 2004 - May 5, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - May 5, 2005
PNC WEALTH MANAGEMENT LLC
September 16, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
October 19, 2001 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
May 5, 1999 - November 8, 2001
ADVEST, INC.
July 2, 1997 - May 10, 1999
ARTHURS, LESTRANGE & COMPANY INCORPORATED
March 21, 1994 - July 14, 1997
CITIGROUP GLOBAL MARKETS INC.
February 20, 1991 - April 5, 1994
UBS FINANCIAL SERVICES 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 8
Date: 8/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
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.
