Daniel F. Reeves
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 Farrell Reeves JR was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1972. Daniel had worked at 8 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2004 - December 16, 2004
WESTERN INTERNATIONAL SECURITIES, INC.
April 1, 1999 - July 20, 2004
NEWPORT COAST SECURITIES, INC.
May 20, 1996 - April 1, 1999
NATHAN & LEWIS SECURITIES, INC.
April 4, 1991 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 14, 1986 - April 8, 1991
DRAKE & COMPANY, INC.
March 25, 1986 - August 1, 1986
PROFESSIONAL BROKERAGE SERVICES INC.
April 1, 1984 - March 31, 1986
JESUP & LAMONT SECURITIES CO., INC.
July 11, 1972 - April 1, 1984
JJC SECURITIES CO., 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 1
Date: 7/3/1972
Registered Representative ExaminationSeries 40
Date: 3/31/1975
Registered Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
