Robert M. Daniels
Professional summary
Robert M Daniels is a registered financial professional currently at UPMARKET SECURITIES LLC located in Milpitas, California.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 87, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert M Daniels's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2019 - Present
UPMARKET SECURITIES LLC
Office #1: 1525 Mccarthy Boulevard #1000, Milpitas, CA 95035Office #2: 1525 Mccarthy Boulevard, #1000, Milpitas, CA 95035April 21, 2015 - April 10, 2017
MACQUARIE CAPITAL (USA) INC.
April 6, 2011 - April 27, 2015
RABO SECURITIES USA, INC.
June 27, 2008 - March 31, 2011
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/10/2023)
(12/19/2019)
(5/27/2021)
(5/21/2021)
(7/23/2020)
(8/21/2020)
(10/27/2025)
(12/17/2020)
(7/31/2020)
(1/26/2024)
(12/4/2019)
(12/15/2020)
(7/24/2024)
(7/2/2020)
(6/9/2023)
(12/13/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (37 States and Territories)
Disclosures
| Regulatory Event | 2 |
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