Daniel P. Son
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 Paul Son, who also goes by Dan Son, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1974. Daniel had worked at 7 firms and has passed the Series 63, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 1999 - March 9, 2001
SERVICE ASSET MANAGEMENT COMPANY
May 23, 1995 - September 14, 2010
PENSON FINANCIAL SERVICES, INC.
March 15, 1994 - April 19, 1995
BARRE & COMPANY, INCORPORATED
August 8, 1989 - February 17, 1994
FIRST SOUTHWEST COMPANY, LLC
August 12, 1988 - June 28, 1989
LM CONSOLIDATED FINANCIAL CORP.
February 12, 1985 - November 7, 1986
THOMSON MCKINNON SECURITIES INC.
February 5, 1974 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, 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
F04
Date: 2/1/1977
Financial Principal ExaminationSeries 00
Date: 1/29/1974
General Securities Principal ExaminationCurrent Firm
SERVICE ASSET MANAGEMENT COMPANY
CRD#: 47157 / SEC#: , 8-51691
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
