Daniel B. Middleton
Professional summary
Daniel Brian Middleton, who also goes by Daniel Middleton, is a registered financial professional currently at STONEX SECURITIES INC. located in St Augustine, Florida.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Brian Middleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2019 - Present
STONEX SECURITIES INC.
February 11, 2014 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
June 25, 2009 - December 31, 2013
HBW SECURITIES LLC
December 3, 2003 - December 2, 2008
VOYA FINANCIAL ADVISORS, INC.
February 10, 1994 - October 14, 2003
WOODBURY FINANCIAL SERVICES, INC.
June 21, 1993 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/16/2019)
Exams
FINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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