Daniel M. Gasparino
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 Michael Gasparino 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 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2015 - November 23, 2015
WHITAKER SECURITIES LLC
October 24, 2011 - June 3, 2013
SANTANDER US CAPITAL MARKETS LLC
November 13, 2007 - May 24, 2011
NATWEST MARKETS SECURITIES INC.
March 19, 2007 - October 26, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
March 17, 1999 - March 30, 2007
UBS SECURITIES LLC
May 21, 1998 - September 4, 1998
MIZUHO SECURITIES USA LLC
February 19, 1997 - December 12, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
July 16, 1992 - December 31, 1996
RODMAN & RENSHAW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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