Daniel J. Cushing
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 Joseph Cushing was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 5 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2011 - October 25, 2013
PORTFOLIO BROKERAGE SERVICES, INC.
January 3, 2007 - April 30, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
July 19, 2005 - January 8, 2007
MESIROW FINANCIAL, INC.
July 28, 2003 - July 12, 2005
PERSHING LLC
May 20, 1998 - May 3, 2000
HARRIS ASSOCIATES SECURITIES L.P.
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
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
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.
