Daniel C. Kriser
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 Carl Kriser, who also goes by Daniel C Kriser, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1971. Daniel had worked at 6 firms and has passed the Series 63, Series 5, Series 41, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2008 - July 10, 2019
CEDAR HILL ASSOCIATES, LLC
October 15, 1997 - June 3, 2008
CEDAR HILL ASSOCIATES INC
February 1, 1990 - March 22, 2005
CEDAR HILL FINANCIAL SERVICES, INC.
June 2, 1989 - February 13, 1990
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
April 21, 1977 - June 3, 1989
RODMAN & RENSHAW INC.
April 13, 1971 - March 15, 1977
SWIFT, HENKE & 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
Series 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 41
Date: 7/19/1981
NYSE Allied Member ExaminationSeries 1
Date: 4/7/1971
Registered Representative ExaminationSeries 40
Date: 3/16/1972
Registered Principal ExaminationCurrent Firm
CEDAR HILL ASSOCIATES, LLC
CRD#: 147206 / SEC#: 801-69215
Contact information
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.
