Richard R. Daniels
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.
Richard Ross Daniels was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - April 4, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 1, 2005 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
June 15, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 4, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
January 1, 1996 - April 25, 1997
ABN AMRO SECURITIES LLC
February 28, 1986 - November 3, 1987
DEAM INVESTOR SERVICES, INC.
March 1, 1985 - December 6, 1985
LEHMAN BROTHERS DISTRIBUTORS INC.
December 12, 1978 - March 14, 1980
A. GARY SHILLING & CO., INC.
September 28, 1978 - October 14, 1978
TROSTER SINGER CORPORATION
May 2, 1974 - August 12, 1978
SBC WARBURG DILLON READ INC.
May 11, 1973 - November 18, 1974
DREXEL BURNHAM LAMBERT INCORPORATED
October 19, 1972 - May 11, 1973
DREXEL BURNHAM & CO. INCORPORATED
October 8, 1969 - December 1, 1972
LOMBARD, NELSON & MCKENNA, INC
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 1
Date: 2/9/1968
Registered Representative ExaminationCurrent Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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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