Patrick D. Daniels
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.
Patrick Duff Daniels, who also goes by Duff Daniels, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1992. Patrick had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 6, Series 7, Series 26 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
January 2, 2013 - December 31, 2022
IMST DISTRIBUTORS, LLC
September 12, 2011 - December 31, 2012
GRAND DISTRIBUTION SERVICES, LLC
May 5, 2011 - January 6, 2023
WCM INVESTMENT MANAGEMENT
November 30, 2000 - January 25, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 4, 1993 - November 5, 1998
CHARLES SCHWAB & CO., INC.
January 15, 1992 - February 22, 1993
MORGAN STANLEY DW 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: 4/25/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
