Daniel E. Adams
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 Evan Adams was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2021 - July 21, 2022
UNEST SECURITIES, LLC
August 13, 2018 - May 15, 2020
ACORNS SECURITIES, LLC
March 11, 2013 - July 20, 2018
PIMCO INVESTMENTS LLC
January 28, 2013 - March 1, 2013
BLACKROCK EXECUTION SERVICES
January 14, 2009 - March 1, 2013
BLACKROCK CAPITAL MARKETS, LLC
September 2, 2008 - March 1, 2013
BLACKROCK INVESTMENTS, LLC
May 11, 2006 - August 8, 2008
ZENITH SECURITIES 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 ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
UNEST SECURITIES, LLC
CRD#: 309955 / SEC#: , 8-70576
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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