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Daniel E. Evans

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CRD#: 4492612
DE

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 Earl Evans, who also goes by Daniel Evans, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Evans

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 24, 2015 - June 22, 2016

ADIRONDACK TRADING GROUP LLC

BD
CRD#: 103910
NEW WOODSTOCK, NY
Past

January 9, 2014 - November 10, 2015

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
FREEPORT, NY
Past

October 15, 2013 - December 31, 2013

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
FREEPORT, NY
Past

June 3, 2013 - November 10, 2015

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

August 31, 2009 - June 3, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
GREAT NECK, NY
Past

August 3, 2009 - June 3, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
GREAT NECK, NY
Past

January 3, 2006 - August 18, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

November 4, 2003 - March 3, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

November 4, 2003 - March 3, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

September 19, 2002 - December 31, 2002

WESTMINSTER FINANCIAL SECURITIES, INC.

BD
CRD#: 20677
BEAVERCREEK, OH
Past

March 11, 2002 - June 11, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2002
General Securities Representative Examination

Current Firm

AT
ADIRONDACK TRADING GROUP LLC
ADIRONDACK TRADING GROUP LLC

CRD#: 103910 / SEC#: , 8-52384

BD
Terminated by SEC on 07/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/09/1999
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RIDGEWAY & CONGER, INC.PARENT
GARBER, LEIGH MCCOBBCCO
GARBER, LEIGH MCCOBBPRESIDENT/CEO2768572
GARBER, LEIGH MCCOBBROSFP, MUNICIPAL PRINCIPAL2768572

Disclosures

Regulatory Event3

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.

Company Information

ADIRONDACK TRADING GROUP LLC

CRD#: 103910

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