Daniel Tapia
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 Tapia was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 9 firms and has passed the Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 14, Series 9, Series 10, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2021 - March 28, 2024
VELOCITY CLEARING, LLC
November 24, 2008 - February 2, 2021
WALLACHBETH CAPITAL LLC
March 6, 2007 - August 20, 2008
DEUTSCHE BANK SECURITIES INC.
October 17, 2005 - February 28, 2007
WELLS FARGO SECURITIES, LLC
October 17, 2003 - April 30, 2004
R. J. THOMPSON SECURITIES, INC.
December 12, 2000 - October 14, 2005
NATIONAL INVESTOR SERVICES CORP.
August 1, 1997 - October 19, 2000
SHOENBERG, HIEBER INC.
June 24, 1996 - July 30, 1997
MURIEL SIEBERT & CO., LLC
April 18, 1995 - June 24, 1996
HAPOALIM SECURITIES USA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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