Daniel Daley
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 Daley was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1964. Daniel had worked at 5 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2021 - June 4, 2021
NATIONAL SECURITIES CORPORATION
August 30, 2001 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
July 30, 1986 - September 10, 2001
TICONDEROGA SECURITIES LLC
February 26, 1976 - May 6, 1986
CITIGROUP GLOBAL MARKETS INC.
June 24, 1964 - February 26, 1976
HARRIS, UPHAM & CO. 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/12/1964
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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