Daniel J. Ogrady
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 John Ogrady was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1972. Daniel had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 1, Series 53 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
January 4, 2010 - November 11, 2016
CASTLEOAK SECURITIES, LP
December 21, 2007 - October 28, 2009
BLAYLOCK VAN, LLC
February 25, 2005 - December 21, 2007
BLAYLOCK & COMPANY, INC.
January 4, 1999 - December 31, 2004
ORMES CAPITAL MARKETS, INC.
October 1, 1998 - November 13, 1998
BANC OF AMERICA SECURITIES LLC
June 26, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
April 29, 1994 - January 5, 1995
DB ALEX. BROWN LLC
April 16, 1990 - November 30, 1993
UBS SECURITIES LLC
July 25, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
January 6, 1986 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - February 19, 1986
UBS FINANCIAL SERVICES INC.
April 23, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 19, 1972 - June 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 12/13/1972
Registered Representative ExaminationCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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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