Daniel J. Buell
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 Joseph Buell, who also goes by Daniel Joseph Buell None, Daniel Buell, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 2 firms and has passed the Series 63, 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
November 20, 2013 - July 24, 2017
EMPIRICAL RESEARCH PARTNERS LLC
July 29, 2010 - November 6, 2013
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
EMPIRICAL RESEARCH PARTNERS LLC
CRD#: 123520 / SEC#: , 8-65590
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
