Daniel J. Davis
Professional summary
Daniel Jay Davis, who also goes by Daniel Davis, Dj Davis, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Portland, Oregon.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Jay Davis's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2010 - Present
CASTLEOAK SECURITIES, LP
Office #1: 4380 S Macadam Avenue Suite 540, Portland, OR 97239April 10, 2007 - June 7, 2010
FINACORP SECURITIES
March 20, 1997 - January 3, 2007
SEATTLE-NORTHWEST SECURITIES CORPORATION
October 29, 1993 - March 10, 1997
BANCAMERICA SECURITIES, 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
(4/28/2016)
(4/15/2024)
(2/25/2016)
(5/12/2017)
(10/7/2013)
(9/30/2013)
(3/28/2023)
(8/27/2013)
(4/25/2023)
(6/5/2013)
(6/28/2010)
(7/27/2010)
(11/4/2013)
(3/31/2023)
(3/15/2023)
(8/7/2013)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
