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DR

Daniel L. Ross

Some features on this profile are disabled
CRD#: 4126584
DR

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 Lee Spiegelberg Ross, who also goes by Daniel Lee Ross, Daniel Lee Spiegelberg, Daniel Lee Spielberg, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Lee Ross | Daniel Lee Spiegelberg | Daniel Lee Spielberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 8, 2021 - November 17, 2021

ASHLAND SECURITIES, LLC

BD
CRD#: 297523
MIAMI, FL
Past

January 30, 2020 - October 28, 2020

ASHLAND SECURITIES, LLC

BD
CRD#: 297523
MIAMI, FL
Past

May 9, 2016 - November 25, 2019

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

June 25, 2013 - July 29, 2016

IMS HEALTH CAPITAL, INC.

BD
CRD#: 150156
LA JOLLA, CA
Past

June 29, 2001 - July 11, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 28, 2000 - March 28, 2000

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/25/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2013
General Securities Principal Examination

Current Firm

AS
ASHLAND SECURITIES, LLC
ASHLAND SECURITIES, LLC

CRD#: 297523 / SEC#: , 8-70133

BD
Terminated by SEC on 02/13/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/21/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JORDAN, CHARLES APRESIDENT, CCO & AMLCO4537219
JUILIANO, COLLEEN JANEFINOP4818898

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.

Company Information

ASHLAND SECURITIES, LLC

CRD#: 297523

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