Daniel J. Roller
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 Joseph Roller, who also goes by Dan Roller, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 3 firms and has passed the Series 65, Series 63 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
September 29, 2015 - August 30, 2017
MARAN CAPITAL MANAGEMENT, LLC
June 28, 2004 - December 13, 2004
CITIGROUP GLOBAL MARKETS INC.
September 23, 2003 - June 4, 2004
CREDIT SUISSE SECURITIES (USA) 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
Exams
Current Firm
MARAN CAPITAL MANAGEMENT, LLC
CRD#: 268788 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Colorado | ERA - Active | 9/1/2017 |
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.
