Daniel Fort
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 Fort was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2011. Daniel had worked at 3 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2020 - February 12, 2021
LAZARD MIDDLE MARKET LLC
May 6, 2014 - May 1, 2017
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
August 19, 2011 - October 28, 2015
IMPERIAL CAPITAL, 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: 12/30/2019
Investment Banking Registered Representative ExaminationCurrent Firm
LAZARD MIDDLE MARKET LLC
CRD#: 146092 / SEC#: , 8-67786
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
