Daniel E. Sirvent
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 Elijah Sirvent was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2016 - June 30, 2025
CORPORATE FINANCE SECURITIES, INC.
January 7, 2015 - February 19, 2016
ROTH CAPITAL PARTNERS, LLC
January 7, 2015 - February 19, 2016
ROTH CAPITAL PARTNERS, LLC
September 1, 2009 - January 28, 2013
C.K. COOPER & COMPANY, INC.
August 31, 2009 - January 28, 2013
C.K. COOPER & COMPANY, INC.
July 24, 2008 - July 17, 2009
JCP SECURITIES
January 16, 2004 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
December 18, 2003 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CORPORATE FINANCE SECURITIES, INC.
CRD#: 143453 / SEC#: , 8-67566
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACADEMY ASSOCIATES LLC | SHAREHOLDER | |
| CENTAURUS PARTNERS, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES MINNESOTA, INC. | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES NEW ENGLAND, LLC | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, INC. A TEXAS CORPORATION | SHAREHOLDER | |
| CORPORATE FINANCE ASSOCIATES, LLC | SHAREHOLDER | |
| HEYDENRYCH FAMILY TRUST | SHAREHOLDER | |
| POWELL, PATRICK SCOTT | SHAREHOLDER | 5778669 |
| AARKENSTONE QUEST, LLC | SHAREHOLDER | |
| HEYDENRYCH, HELENA JOANNA | PRINCIPAL OPERATIONS OFFICER, TRUSTEE | 5305105 |
| HEYDENRYCH, PETER MICHAEL | PRINCIPAL OPERATIONS OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, TRUSTEE | 5304971 |
| SINYARD, DAVID BLAIR | CCO, AMLCO | 5122340 |
| ST. GERMAIN, ROBERT PAUL | CEO, CHAIRMAN | 5384187 |
Red Flags
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