Daniel L. Buchsbaum
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 Lawrence Buchsbaum was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
November 20, 2012 - August 10, 2015
SECUREVEST FINANCIAL GROUP
September 7, 2011 - February 22, 2018
FOUNTAINHEAD ADVISORS
May 15, 2009 - October 7, 2011
PRIVATE CLIENT GROUP ASSET MANAGEMENT
January 30, 2009 - September 8, 2011
FIRST ALLIED SECURITIES, INC.
April 15, 2005 - February 11, 2009
UBS FINANCIAL SERVICES INC.
January 8, 2002 - February 11, 2009
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SECUREVEST FINANCIAL GROUP
CRD#: 10100 / SEC#: , 8-26030
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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