Daniel Nieves
Professional Summary
Daniel Nieves, who also goes by Dan Nieves, is a registered financial advisor currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 6, Series 24, Series 4, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Nieves
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Current Firm
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
Contact Information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324Phone Number
(954) 652-7900Established
Florida since 09/07/1995Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | — |
| BOLEK, JOHN MITCHELL | CHIEF OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | CHIEF OPERATING OFFICER & PRESIDENT | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 3096214 |
| VESPE, CHRISTOPHER JAMES | INTERIM CHIEF COMPLIANCE OFFICER | 5205586 |
Disclosures
Regulatory Event
29Arbitration
4Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(3/11/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Apr 2024About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2006Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1995About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2000About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Daniel Nieves's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
EQUITABLE ADVISORS, LLC
SUMMIT FINANCIAL, LLC
