Daniel L. Hern
Professional summary
Daniel Laurence Hern is a registered financial professional currently at BTIG, LLC located in Boston, Massachusetts.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Laurence Hern's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2007 - Present
BTIG, LLC
Office #1: 260 Franklin Street Suite 720, Boston, MA 02210February 27, 2001 - June 26, 2007
PRUDENTIAL EQUITY GROUP, LLC
June 1, 1999 - October 27, 2000
PERSHING LLC
January 28, 1993 - June 7, 1999
BOSTON INSTITUTIONAL SERVICES INCORPORATED
March 2, 1992 - June 2, 1992
FIDELITY BROKERAGE SERVICES LLC
October 24, 1991 - February 10, 1992
FAM DISTRIBUTORS, 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
(8/15/2007)
(1/20/2010)
(10/17/2007)
(8/15/2007)
(1/20/2010)
(1/20/2010)
(5/17/2011)
(8/15/2007)
(1/20/2010)
(8/15/2007)
(4/8/2008)
(8/15/2007)
(7/17/2018)
(1/20/2010)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/8/2006
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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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Company Information
BTIG, LLC
CRD#: 122225Boston, MA 02210TRUST BUT VERIFY
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