Daniel M. James
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 M James, who also goes by Daniel Michael James, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 8 firms and has passed the Series 63, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2004 - January 11, 2013
MND PARTNERS, INC.
April 8, 2004 - August 6, 2004
CATANIA, NEIL MICHAEL
April 1, 2004 - July 6, 2005
Z&Z SECURITIES INC.
April 6, 2000 - June 3, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 16, 2000 - April 12, 2004
VDM INSTITUTIONAL BROKERAGE, LLC
January 29, 1998 - April 5, 2000
DEUTSCHE BANK SECURITIES INC.
February 11, 1994 - January 5, 1998
SALOMON BROTHERS INC.
April 2, 1993 - December 23, 1993
S.G. WARBURG & CO. 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 55
Date: 1/5/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 4/6/2006
NYSE Trading Assistant ExaminationCurrent Firm
MND PARTNERS, INC.
CRD#: 131833 / SEC#: , 8-66510
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
