Daniel G. Dodson
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 Gene Dodson, who also goes by Dan Dodson, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 8 firms and has passed the Series 63, Series 6, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2013 - August 21, 2013
CAPE SECURITIES INC.
January 24, 2012 - June 19, 2013
ALLIED BEACON PARTNERS, INC.
October 14, 2010 - December 5, 2011
KCD FINANCIAL, INC.
February 4, 2009 - July 23, 2010
RMC CAPITAL MARKETS GROUP, INC
March 3, 2003 - February 3, 2009
K-ONE INVESTMENT COMPANY, INC.
June 30, 1999 - July 2, 2001
CION SECURITIES, LLC
July 23, 1998 - May 27, 1999
HARTMAN SECURITIES, INC.
October 21, 1997 - July 17, 1998
HARTMAN SECURITIES, INC.
July 18, 1996 - September 30, 1996
INVESCO CAPITAL MARKETS, 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
Series 62
Date: 2/10/2006
Corporate Securities Limited Representative ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
