Daniel A. Smith
Professional summary
Daniel Alexander Smith, who also goes by Dan Smith, Daniel Alexander Smith Mr., Danny Smith, is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Alexander Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2018 - Present
HAYWOOD SECURITIES (USA) INC.
Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6April 24, 2006 - September 27, 2018
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
February 12, 1998 - April 26, 2006
WOLVERTON SECURITIES (USA), LTD.
October 28, 1996 - September 22, 1997
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/26/2018)
(9/26/2018)
(9/26/2018)
(9/26/2018)
Exams
Series 37
Date: 9/25/1996
Canada Module of the General Securities Registered Representative (With Options Questions)FINRA
Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Company Information
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072Vancouver, Bc, V6C 3L6TRUST BUT VERIFY
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