Daniel J. Healy
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 Healy, who also goes by Dan Healy, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2013 - June 16, 2015
WELBORN CAPITAL LLC
January 11, 2012 - March 31, 2015
TKC WEALTH MANAGEMENT LLC
November 14, 2011 - November 29, 2011
TKC WEALTH MANAGEMENT LLC
December 11, 2008 - January 26, 2010
HEXT CAPITAL PARTNERS LLC
November 21, 2005 - January 3, 2007
NEXBANK SECURITIES 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 28
Date: 1/5/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WELBORN CAPITAL LLC
CRD#: 152234 / SEC#: , 8-68436
Contact information
Documents
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.
