Daniel S. Nathan
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 S Nathan, who also goes by Daniel Stephen Nathan, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2007. Daniel had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2018 - August 2, 2019
BCW SECURITIES LLC
November 26, 2012 - January 4, 2017
FGC SECURITIES, LLC
February 24, 2012 - January 4, 2013
COHEN & COMPANY SECURITIES, LLC
May 2, 2011 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
December 8, 2010 - April 28, 2011
J.A.K. SECURITIES, INC.
April 14, 2009 - November 2, 2010
PHOENIX DERIVATIVES GROUP, LLC
July 24, 2007 - April 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 1/30/2008
Limited Representative-Equity Trader ExamSeries 17
Date: 4/9/2007
Limited Registered Representative ExaminationCurrent Firm
BCW SECURITIES LLC
CRD#: 144930 / SEC#: , 8-67685
Contact information
FINRA licenses (18 States and Territories)
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.
