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DF

Daniel T. Fischer

Some features on this profile are disabled
CRD#: 2796625
DF

Professional summary

Daniel Terry Fischer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Daniel had worked at 10 firms, which includes FOUR POINTS CAPITAL PARTNERS LLC, WTS PROPRIETARY TRADING GROUP LLC, DIMENSION TRADING GROUP LLC, DIMENSION SECURITIES LLC, E*TRADE SECURITIES LLC, TAFFERER TRADING LLC, QUEST CAPITAL STRATEGIES INC., WORLDCO L.L.C., ON-SITE TRADING INC., MONROE PARKER SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 8, 2012 - July 31, 2017

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
NEW YORK, NY
Past

January 30, 2012 - November 5, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

February 23, 2011 - January 10, 2012

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

August 12, 2010 - April 18, 2012

DIMENSION SECURITIES, LLC

BD
CRD#: 139543
NEW YORK, NY
Past

November 30, 2007 - October 3, 2008

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

January 1, 2007 - March 26, 2007

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

April 5, 2004 - September 13, 2004

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

October 15, 2001 - April 5, 2002

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

February 11, 2000 - October 1, 2001

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

January 8, 1998 - November 10, 1998

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY
Past

May 12, 1997 - October 30, 1997

MONROE PARKER SECURITIES, INC.

BD
CRD#: 31204
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/23/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2000
General Securities Principal Examination

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

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.

Company Information

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

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