Daniel G. Hardoon
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 Gregory Hardoon, who also goes by Daniel G Hardoon, 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 66, Series 63 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 26, 2009 - July 18, 2012
PTS BROKERAGE, LLC
August 26, 2009 - July 18, 2012
PTS BROKERAGE, LLC
October 10, 2006 - May 28, 2009
TD AMERITRADE, INC.
October 10, 2006 - May 28, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 10, 2006 - May 28, 2009
TD AMERITRADE, INC.
January 16, 2006 - October 11, 2006
PTS BROKERAGE, LLC
October 20, 2005 - October 11, 2006
PTS BROKERAGE, LLC
January 10, 2002 - July 6, 2004
USALLIANZ SECURITIES, INC.
October 24, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
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
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
