Brett W. Daniel
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.
Brett William Daniel was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2006. Brett had worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2023 - March 10, 2025
OLD CITY SECURITIES LLC
March 24, 2022 - October 3, 2022
FTI CAPITAL ADVISORS, LLC
June 9, 2006 - March 26, 2007
RHONE GROUP ADVISORS 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
Series 79TO
Date: 4/11/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 3/23/2022
General Securities Representative ExaminationSeries 17
Date: 6/8/2006
Limited Registered Representative ExaminationCurrent Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
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