Danielle C. Merritt
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.
Danielle Cirese Merritt, who also goes by Danielle Cirese Mayo, Danielle Mayo, was a registered financial professional .
Danielle is a previously registered financial professional and started their career in finance in 2000. Danielle had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2007 - March 9, 2012
TOWER SQUARE SECURITIES, INC.
September 8, 2006 - February 16, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 31, 2005 - September 18, 2006
OSAIC SERVICES, INC.
June 23, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
August 24, 2004 - April 29, 2005
PRUCO SECURITIES, LLC.
July 19, 2004 - August 16, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 19, 2001 - December 17, 2002
FORESTERS EQUITY SERVICES, INC.
July 18, 2000 - October 11, 2001
STATE FARM VP MANAGEMENT CORP.
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
Current Firm
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 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.
