Daniel Doo
Professional summary
Daniel Doo, who also goes by Daniel Y Doo, Daniel Young Doo, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Doo's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2018 - Present
TRUIST SECURITIES, INC.
Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202January 21, 2016 - April 3, 2018
HSBC SECURITIES (USA) INC.
August 30, 2013 - June 9, 2015
THE VERTICAL GROUP
March 25, 2013 - July 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2013 - July 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2011 - February 1, 2013
TOPEKA CAPITAL MARKETS INC.
June 7, 2011 - August 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2011 - August 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2009 - November 10, 2009
CASTLEOAK SECURITIES, LP
June 2, 2003 - January 10, 2008
NOMURA SECURITIES INTERNATIONAL, INC.
February 7, 2001 - May 14, 2003
CIBC TRADING (DELAWARE CORP.)
July 1, 1999 - June 12, 2003
CIBC WORLD MARKETS CORP.
July 7, 1998 - April 15, 1999
DB ALEX. BROWN LLC
March 10, 1998 - May 20, 1998
UBS FINANCIAL SERVICES INC.
December 11, 1995 - November 14, 1996
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/19/2018)
(7/19/2018)
(9/11/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/29/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| 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.
