Benjamin R. Daniels
Professional summary
Benjamin R Daniels was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Benjamin is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Benjamin had worked at 3 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., CETERA INVESTMENT SERVICES LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2003 - May 4, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 17, 2003 - May 4, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 2002 - July 22, 2003
CETERA INVESTMENT SERVICES LLC
January 31, 2002 - July 22, 2003
CETERA INVESTMENT SERVICES LLC
January 22, 2001 - January 15, 2002
MORGAN STANLEY DW 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
| ZOLPER, ANDREW CANNING | DIRECTOR | 5304616 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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