Daniel J. Desnyder
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 Jerome Desnyder, who also goes by Daniel Jerome Desynder, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2017 - May 7, 2020
IMPERIAL CAPITAL, LLC
August 18, 2016 - July 6, 2017
B. RILEY WEALTH MANAGEMENT
March 18, 2014 - August 25, 2016
INTL FCSTONE CREDIT TRADING LLC
October 31, 2008 - March 19, 2014
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
February 22, 2008 - September 30, 2008
HARRISON LOVEGROVE AMERICAS 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
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
