Daniel A. Siller
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 Alfonso Siller, who also goes by Daniel Siller, Daniel Alfonso Siller Pinette, Daniel Alfonso Sillerpinette, Daniel Sillerpinette, 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 63, Series 79TO, 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
January 4, 2024 - April 28, 2026
HOULIHAN LOKEY CAPITAL, INC.
May 1, 2023 - January 3, 2024
7M SECURITIES, LLC
June 27, 2019 - May 3, 2023
EQUITEQ SECURITIES LLC
April 20, 2015 - June 11, 2019
R.W.PRESSPRICH & CO.
October 9, 2012 - April 20, 2015
DELOITTE CORPORATE FINANCE LLC
April 26, 2010 - September 27, 2012
CREDIT SUISSE SECURITIES (USA) LLC
September 1, 2005 - March 2, 2010
LAZARD FRERES & CO. LLC
April 20, 1999 - July 7, 2000
GOLDMAN SACHS & CO. LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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