Daniel R. Michelson
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 Robert Michelson was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, 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 10, 2019 - March 15, 2021
BOFA SECURITIES, INC.
May 15, 2015 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2015 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2015 - March 15, 2021
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 6, 2008 - June 3, 2015
CREDIT SUISSE SECURITIES (USA) LLC
October 6, 2008 - June 3, 2015
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
August 2, 2007 - October 7, 2008
LEHMAN BROTHERS INC.
July 19, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
September 16, 2005 - October 4, 2005
J.P. MORGAN CLEARING CORP.
September 16, 2005 - October 4, 2005
J.P. MORGAN SECURITIES LLC
September 16, 2005 - July 25, 2007
J.P. MORGAN CLEARING CORP.
September 16, 2005 - July 25, 2007
J.P. MORGAN SECURITIES LLC
April 8, 2005 - July 25, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 8, 2005 - July 25, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 23, 2003 - March 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2003 - March 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2002 - May 12, 2003
SUMMIT EQUITIES, INC.
July 30, 2002 - May 12, 2003
SUMMIT FINANCIAL RESOURCES INC
April 2, 2002 - April 5, 2002
EQUITABLE ADVISORS, LLC
April 2, 2002 - May 12, 2003
SUMMIT EQUITIES, INC.
September 3, 1999 - June 26, 2000
JOSEPH STEVENS & CO., INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
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 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 69 |
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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