Dan C. Vismor
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.
Dan Charles Vismor, who also goes by Dan Charles VIsmor 111, Dan Charles Vismor III, Dan Charles Vismor, was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 2007. Dan had worked at 8 firms and has passed the Series 66, SIE 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
May 23, 2017 - June 11, 2024
DAVID LERNER ASSOCIATES, INC.
October 8, 2015 - April 13, 2017
NEWBRIDGE SECURITIES CORPORATION
May 20, 2015 - October 8, 2015
CENTAURUS FINANCIAL, INC.
July 3, 2014 - June 15, 2015
J.P. TURNER & COMPANY, L.L.C.
January 7, 2013 - July 7, 2014
NATIONAL SECURITIES CORPORATION
June 15, 2011 - December 19, 2012
NEWBRIDGE SECURITIES CORPORATION
August 3, 2009 - April 29, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
January 1, 2008 - April 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 26, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 26, 2007 - January 3, 2008
A. G. EDWARDS & SONS, 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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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