Daniel M. Flynn
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 M Flynn was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 7 firms and has passed the Series 63 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
December 19, 2003 - August 14, 2007
GUNNALLEN FINANCIAL, INC
September 5, 2003 - December 15, 2003
AMERICAN CAPITAL PARTNERS, LLC
December 19, 2000 - November 29, 2002
GUNNALLEN FINANCIAL, INC
July 24, 2000 - December 18, 2000
CANTELLA & CO., INC.
September 3, 1999 - July 17, 2000
CARNEGIE INVESTOR SERVICES INC.
January 20, 1999 - August 30, 1999
ROYCE INVESTMENT GROUP, INC.
March 11, 1998 - December 15, 1998
STRATEGIC ASSETS INC.
May 8, 1997 - January 29, 1998
FOSTER JEFFRIES SECURITIES, LLC
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
