Daniel J. Moniz
Professional summary
Daniel Joseph Moniz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel Joseph Moniz was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 2001. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2015 - July 21, 2016
REVERE SECURITIES LLC
November 28, 2014 - July 2, 2015
NEWPORT COAST SECURITIES, INC.
June 26, 2012 - December 8, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2010 - July 13, 2012
MOORS & CABOT, INC.
December 1, 2006 - February 8, 2010
WINSLOW, EVANS & CROCKER, INC.
December 1, 2006 - February 8, 2010
WINSLOW, EVANS & CROCKER, INC.
May 1, 2006 - December 4, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2004 - December 4, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 19, 2004 - May 27, 2004
JANNEY MONTGOMERY SCOTT LLC
December 12, 2001 - March 1, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
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Exams
Current Firm
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
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