Daniel A. Zwelling
Professional summary
Daniel Adam Zwelling is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Adam Zwelling's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2017 - Present
BRADLEY WOODS & CO. LTD.
Office #1: 845 Third Avenue Suite 1703, New York, NY 10022June 26, 2018 - July 8, 2020
TM CAPITAL LLC
February 11, 2016 - November 10, 2016
TM CAPITAL LLC
June 6, 2011 - October 21, 2015
BROCK SECURITIES LLC
September 2, 1999 - June 24, 2002
CREDIT SUISSE SECURITIES (USA) 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
(5/5/2017)
Exams
FINRA
Current Firm
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
