Daniel N. Ginsparg
Professional summary
Daniel Norman Ginsparg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Daniel had worked at 1 firm, which includes EXPLORER ASSET MANAGEMENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2002 - October 15, 2012
EXPLORER ASSET MANAGEMENT, 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
Current Firm
EXPLORER ASSET MANAGEMENT, LLC
CRD#: 120996 / SEC#:
Contact information
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.
