Daniel B. Marcotte
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 Bert Marcotte, CFP®, who also goes by Daniel B Marcotte, Daniel Marcotte, Daniel Bert Marlotte, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
January 29, 2014 - October 7, 2024
DOXA ADVISORS, LLC
September 21, 2011 - December 1, 2014
PURSHE KAPLAN STERLING INVESTMENTS
July 1, 2011 - September 22, 2011
WORKMAN SECURITIES CORPORATION
July 1, 2011 - September 22, 2011
WORKMAN SECURITIES CORPORATION
August 24, 2010 - July 8, 2011
KESTRA INVESTMENT SERVICES, LLC
February 9, 2005 - August 12, 2008
KESTRA INVESTMENT SERVICES, LLC
October 31, 2000 - January 7, 2005
BIRCHTREE FINANCIAL SERVICES LLC
August 30, 2000 - November 2, 2000
AEGIS INVESTMENTS, INC.
March 2, 1998 - September 1, 1998
RBC CAPITAL MARKETS, LLC
August 20, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 12, 1993 - August 16, 1993
RBC CAPITAL MARKETS, LLC
May 6, 1992 - April 12, 1993
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DOXA ADVISORS, LLC
CRD#: 157886 / SEC#: 801-72692
Contact information
Regulatory assets under management
| Total Number of Accounts | 275 |
| AUM (Assets Under Management) | $ 96,136,000 |
Red Flags
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