Daniel R. Licon
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 Ray Licon, who also goes by Danny Ray Licon, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1969. Daniel had worked at 11 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1993 - August 30, 1994
VANGUARD EQUITIES, INC.
July 22, 1992 - October 26, 1992
EXPANSION CAPITAL SECURITIES
December 18, 1990 - September 4, 1991
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
July 26, 1990 - August 1, 1990
HOLT & COLLINS
October 12, 1989 - July 5, 1990
ACUMENT SECURITIES, INC.
August 29, 1988 - September 12, 1989
BRITSON INVESTMENTS, INC.
September 15, 1987 - August 18, 1988
SKAIFE & COMPANY
June 7, 1976 - August 11, 1987
SECURITIES WEST, INC.
March 20, 1974 - May 26, 1976
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 12, 1973 - April 14, 1974
SUTRO & CO. INCORPORATED
March 19, 1969 - August 16, 1973
FIRST CALIFORNIA COMPANY, INCORPORATED
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 1
Date: 3/13/1969
Registered Representative ExaminationCurrent Firm
VANGUARD EQUITIES, INC.
CRD#: 16291 / SEC#: , 8-33659
Contact information
Documents
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.
