Daniel J. Mullineaux
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 James Mullineaux was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2025 - July 14, 2025
SEAPORT GLOBAL SECURITIES LLC
May 21, 2021 - May 2, 2025
SEAPORT GLOBAL SECURITIES LLC
September 10, 2013 - March 6, 2023
LIQUIDITY FINANCE LP
July 2, 2012 - June 12, 2013
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
May 4, 2009 - January 3, 2011
KNIGHT LIBERTAS LLC
March 27, 2001 - March 17, 2009
UBS SECURITIES LLC
July 25, 2000 - December 12, 2001
J.P. MORGAN SECURITIES INC.
August 9, 1994 - June 29, 2000
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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