Daniel F. Sweet
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 Francis Sweet SR, who also goes by Daniel Francis Sweet, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1972. Daniel had worked at 23 firms and has passed the Series 63, Series 57TO, SIE, Series 55, PC, Series 15, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2020 - March 15, 2024
TRITAURIAN CAPITAL, INCORPORATED
April 12, 2018 - August 16, 2018
WYNSTON HILL CAPITAL, LLC
August 11, 2014 - April 14, 2016
DME SECURITIES, LLC
November 14, 2012 - March 27, 2013
WESTOR CAPITAL GROUP, INC.
March 24, 2009 - August 8, 2012
BGC FINANCIAL, L.P.
June 24, 2008 - March 10, 2009
DIRECT ACCESS PARTNERS LLC
December 10, 2007 - June 30, 2008
WALTER J. DOWD, INC.
July 23, 2002 - November 9, 2007
UNX LLC
March 25, 2002 - July 29, 2002
PCS SECURITIES, INC.
May 2, 2001 - February 5, 2002
FULCRUM GLOBAL PARTNERS LLC
October 1, 1997 - February 12, 2001
BANC OF AMERICA SECURITIES LLC
September 30, 1996 - October 1, 1997
MONTGOMERY SECURITIES
July 19, 1994 - October 30, 1996
AUERBACH GRAYSON & COMPANY LLC
July 11, 1990 - May 12, 1994
CREDIT AGRICOLE SECURITIES (USA) INC.
October 20, 1988 - May 25, 1990
NATWEST SECURITIES CORPORATION
August 12, 1987 - January 21, 1992
COUNTY NATWEST GLOBAL SECURITIES LIMITED
June 25, 1987 - August 1, 1987
NATWEST SECURITIES CORPORATION
August 15, 1985 - September 29, 1986
KLEINWORT BENSON NORTH AMERICA INC.
June 1, 1984 - December 5, 1984
UBS FINANCIAL SERVICES INC.
September 13, 1982 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
February 27, 1980 - October 13, 1981
MORGAN STANLEY & CO. LLC
March 8, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
July 7, 1976 - March 1, 1979
SALOMON BROTHERS INC.
November 27, 1972 - May 3, 1975
SINGER & MACKIE, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/16/2000
Limited Representative-Equity Trader ExamPC
Date: 3/12/1997
AMEX Put and Call ExamSeries 15
Date: 1/25/1983
Foreign Currency Options ExaminationSeries 1
Date: 11/20/1972
Registered Representative ExaminationCurrent Firm
TRITAURIAN CAPITAL, INCORPORATED
CRD#: 45500 / SEC#: , 8-51062
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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