Daniel M. Harris
Professional summary
Daniel Michael Harris was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Daniel had worked at 4 firms, which includes OBSIDIAN FINANCIAL GROUP LLC, SAXONY SECURITIES INC., LAIDLAW GLOBAL SECURITIES INC., PRIME CHARTER LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2004 - July 23, 2004
OBSIDIAN FINANCIAL GROUP, LLC
November 11, 2002 - February 6, 2004
SAXONY SECURITIES, INC.
June 21, 2001 - November 13, 2002
LAIDLAW GLOBAL SECURITIES, INC.
August 18, 1999 - June 8, 2001
PRIME CHARTER LTD.
State Registrations and Notice Filings
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Exams
Current Firm
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
Red Flags
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