Daniel Mcnamara
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 Mcnamara was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - June 28, 2019
EMPOWER FINANCIAL SERVICES, INC.
February 21, 2012 - January 22, 2015
PUTNAM INVESTMENT MANAGEMENT, LLC
February 14, 2012 - January 2, 2015
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 29, 2009 - January 18, 2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 20, 2006 - February 1, 2008
INTERLINK SECURITIES CORP.
May 22, 2006 - June 19, 2009
MMC SECURITIES LLC
August 18, 2004 - May 19, 2006
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 16, 2001 - August 13, 2004
SIGNATOR INVESTORS, INC.
March 21, 2001 - June 4, 2001
NEW ENGLAND SECURITIES
June 27, 2000 - April 20, 2001
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
July 16, 1999 - September 20, 1999
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 27, 1999 - January 19, 2001
SIGNATOR INVESTORS, INC.
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 55
Date: 7/18/2005
Limited Representative-Equity Trader ExamCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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