Daniel R. Brims
Professional summary
Daniel Robert Brims is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 4 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Brims's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2021 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022July 22, 2014 - October 30, 2015
CANTOR FITZGERALD & CO.
June 17, 2013 - July 2, 2014
BREAN CAPITAL, LLC
April 15, 2013 - June 19, 2013
GUGGENHEIM SECURITIES, LLC
June 21, 2012 - April 15, 2013
BREAN 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
(7/19/2021)
Exams
Series 79TO
Date: 8/16/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 6/15/2021
General Securities Representative ExaminationFINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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