Daniel E. Fell
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 E Fell, who also goes by Daniel Fell, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2012 - July 31, 2013
SOFI SECURITIES LLC
April 21, 2010 - April 11, 2011
MORGAN STANLEY
April 12, 2010 - April 11, 2011
MORGAN STANLEY
January 6, 2006 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
January 6, 2006 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
June 17, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
November 14, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
