Daniel I. Small
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 Isaiah Small was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 4 firms and has passed the Series 63, SIE 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
March 18, 2016 - December 19, 2016
STAR MOUNTAIN ADVISORS, LLC
May 12, 2003 - February 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1998 - July 24, 2000
COWEN AND COMPANY
April 22, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
STAR MOUNTAIN ADVISORS, LLC
CRD#: 153505 / SEC#: , 8-68541
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
