Stephen F. Daniels
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.
Stephen F Daniels, who also goes by Stephen Francis Daniels, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 4 firms and has passed the Series 63, Series 55 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
January 25, 2012 - August 29, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 25, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
April 29, 2008 - July 12, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
January 14, 2004 - November 16, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
August 18, 2000 - January 22, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
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
Series 55
Date: 6/2/2008
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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