Daniel D. Farrell
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 D. Farrell was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2016 - September 16, 2016
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
April 21, 2015 - June 3, 2016
PIPER SANDLER & CO.
April 21, 2010 - April 27, 2015
STERNE, AGEE & LEACH, INC.
December 1, 2009 - March 12, 2010
MACQUARIE CAPITAL (USA) INC.
March 15, 2004 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
April 14, 2003 - February 27, 2004
DOWLING & PARTNERS SECURITIES LLC
September 11, 2000 - April 11, 2003
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
CRD#: 13233 / SEC#: , 8-28508
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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