Daniel S. Spicer
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 Shields Spicer IV, who also goes by Daniel Shields Spicer, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1995. Daniel had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2004 - June 21, 2005
COREBRIDGE CAPITAL SERVICES, INC.
October 1, 2000 - January 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2000 - January 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 5, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 6, 1997 - May 8, 2000
LEGG MASON WOOD WALKER, INCORPORATED
March 1, 1996 - May 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 27, 1995 - December 15, 1995
BILTMORE SECURITIES, INC.
May 19, 1995 - June 28, 1995
STRATTON OAKMONT 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
Exams
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
