Dan B. Faraon
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.
Dan Benedik Faraon, who also goes by Dan B Faraon, was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1996. Dan had worked at 8 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - October 11, 2013
NATIONAL SECURITIES CORPORATION
April 30, 2008 - February 6, 2012
NATIONAL FINANCIAL SERVICES LLC
June 6, 2005 - August 8, 2005
APEX CLEARING CORPORATION
June 24, 2004 - June 15, 2005
NATIONAL INVESTOR SERVICES CORP.
May 26, 1998 - June 25, 2004
TD AMERITRADE, INC.
November 19, 1997 - February 20, 1998
FLEET BROKERAGE SECURITIES, INC.
March 25, 1996 - February 12, 1997
LADENBURG CAPITAL MANAGEMENT INC.
January 25, 1996 - March 25, 1996
A.S. GOLDMEN & CO., 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
