Daniel R. Mignone
Professional summary
Daniel Richard Mignone was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel Richard Mignone, who also goes by Daniel R Mignone, Don Richard Mignone, Donny Mignone, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1999. Daniel had worked at 9 firms and has passed the Series 65, Series 63 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
February 8, 2011 - May 12, 2011
NATIONAL SECURITIES CORPORATION
March 19, 2008 - June 27, 2009
NATIONAL SECURITIES CORPORATION
December 19, 2006 - February 14, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 2, 2006 - February 14, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 19, 2005 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2005 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2005 - December 20, 2005
ADVEST, INC.
January 28, 2005 - December 20, 2005
ADVEST, INC.
October 20, 2004 - February 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 1, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
December 17, 2001 - October 20, 2004
QUICK & REILLY, INC.
June 20, 2001 - December 18, 2001
CONTINENTAL BROKER-DEALER CORP.
February 10, 2000 - July 5, 2001
MORGAN STANLEY DW INC.
September 17, 1999 - October 13, 1999
UBS FINANCIAL SERVICES INC.
September 17, 1999 - November 18, 1999
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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