Daniel J. Dwyer
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 Dwyer was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 6 firms and has passed the Series 63, SIE 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
February 10, 2011 - February 2, 2018
FIRST INTEGRITY CAPITAL PARTNERS CORP.
December 17, 2007 - December 13, 2010
U.S. BANCORP INVESTMENTS, INC.
July 21, 2006 - May 9, 2007
NORTH AMERICAN CAPITAL MARKETS, LLC
October 17, 2005 - August 29, 2006
NORTH AMERICAN CAPITAL MARKETS, INC.
April 14, 2004 - July 19, 2005
NORTHLAND SECURITIES, INC.
August 18, 2003 - April 13, 2004
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INTEGRITY CAPITAL PARTNERS CORP.
CRD#: 146049 / SEC#: , 8-67778
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
