Daniel Nieves
Professional summary
Daniel Nieves, who also goes by Dan Nieves, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Nieves's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2022 - Present
TRADESTATION SECURITIES, INC.
Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324March 16, 2020 - April 6, 2021
DEUTSCHE BANK SECURITIES INC.
March 28, 2018 - February 24, 2020
MACQUARIE CAPITAL (USA) INC.
September 21, 2012 - February 22, 2018
DEUTSCHE BANK SECURITIES INC.
October 30, 2009 - August 24, 2011
E*TRADE CLEARING LLC
June 23, 2005 - October 30, 2009
E*TRADE SECURITIES LLC
January 15, 1996 - December 3, 2001
CHARLES SCHWAB & CO., INC.
January 16, 1995 - November 2, 1995
WOODBURY FINANCIAL SERVICES, 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
(3/11/2022)
Exams
Series 52TO
Date: 4/5/2024
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/21/2006
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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Company Information
TRADESTATION SECURITIES, INC.
CRD#: 39473Plantation, FL 33324TRUST BUT VERIFY
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