Nicholas C. Mcdaniel
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.
Nicholas Calvin Mcdaniel was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1974. Nicholas had worked at 8 firms and has passed the Series 63, Series 1 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
February 13, 1987 - January 1, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
October 18, 1983 - April 12, 1985
PHOENIX SECURITIES, INC.
January 21, 1983 - July 29, 1983
CONVEST SECURITIES DISTRIBUTORS, INC.
July 8, 1982 - February 27, 1986
CRISPIN KOEHLER SECURITIES
June 11, 1980 - July 26, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
February 24, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
December 13, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
June 14, 1974 - December 6, 1974
FINANCIAL SERVICE CORPORATION OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/12/1974
Registered Representative ExaminationCurrent Firm
SOUTHMARK FINANCIAL SERVICES, INC.
CRD#: 6518 / SEC#: , 8-31808
Contact information
Documents
Red Flags
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