Daniel J. Adamson
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 Jeffrey Adamson, who also goes by Daniel De Faro Adamson, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2007. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - January 11, 2016
ARES MANAGEMENT CAPITAL MARKETS LLC
October 26, 2010 - January 27, 2012
TANGENT CAPITAL PARTNERS, LLC
September 22, 2008 - March 9, 2009
BARCLAYS CAPITAL INC.
September 27, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
January 31, 2007 - May 21, 2008
FORESIDE DISTRIBUTION SERVICES, L.P.
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
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
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.
