DF
Daniel C. Fishman
SI SECURITIES
Boston, MA 02110
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CRD#: 5138796
DF
Professional summary
Daniel Charles Fishman, who also goes by Dan Fishman, Daniel Fishman, is a registered financial professional currently at SI SECURITIES, LLC located in Boston, Massachusetts.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Fishman | Daniel Fishman
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Charles Fishman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 5, 2024 - Present
SI SECURITIES, LLC
Office #1: 99 High Street Floor 17, Boston, MA 02110BD
CRD#: 170937
Boston, MA
Past
June 2, 2006 - May 27, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/12/2024)
RR
Alaska(8/12/2024)
RR
Arizona(8/12/2024)
RR
Arkansas(8/12/2024)
RR
California(8/12/2024)
RR
Colorado(8/12/2024)
RR
Connecticut(8/12/2024)
RR
Delaware(8/12/2024)
RR
District of Columbia(8/12/2024)
RR
Florida(8/12/2024)
RR
Georgia(8/12/2024)
RR
Hawaii(8/12/2024)
RR
Idaho(8/12/2024)
RR
Illinois(8/12/2024)
RR
Indiana(8/12/2024)
RR
Iowa(8/12/2024)
RR
Kansas(8/12/2024)
RR
Kentucky(8/12/2024)
RR
Louisiana(8/12/2024)
RR
Maine(8/12/2024)
RR
Maryland(8/12/2024)
RR
Massachusetts(1/5/2024)
RR
Michigan(8/12/2024)
RR
Minnesota(8/12/2024)
RR
Mississippi(8/12/2024)
RR
Missouri(8/12/2024)
RR
Montana(8/12/2024)
RR
Nebraska(8/12/2024)
RR
Nevada(8/12/2024)
RR
New Hampshire(8/12/2024)
RR
New Jersey(1/5/2024)
RR
New Mexico(8/12/2024)
RR
New York(1/5/2024)
RR
North Carolina(8/12/2024)
RR
North Dakota(8/12/2024)
RR
Ohio(8/13/2024)
RR
Oklahoma(8/12/2024)
RR
Oregon(8/12/2024)
RR
Pennsylvania(8/12/2024)
RR
Puerto Rico(8/12/2024)
RR
Rhode Island(8/12/2024)
RR
South Carolina(8/12/2024)
RR
South Dakota(8/12/2024)
RR
Tennessee(8/12/2024)
RR
Texas(8/12/2024)
RR
Utah(8/12/2024)
RR
Vermont(8/12/2024)
RR
Virgin Islands(8/12/2024)
RR
Virginia(8/12/2024)
RR
Washington(8/12/2024)
RR
West Virginia(8/12/2024)
RR
Wisconsin(8/12/2024)
RR
Wyoming(8/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SI SECURITIES, LLC
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
99 High Street 17th Floor, Boston, MA 02210
Mailing Address
99 High Street 17th Floor, Boston, MA 02210
Phone number
(617) 326-8326
Established
New York since 03/26/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SI SECURITIES, LLC
CRD#: 170937Boston, MA 02110TRUST BUT VERIFY
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