William H. 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.
William Harrison Daniels, who also goes by William H Daniels, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1985 - October 21, 1985
SECURITIES USA, INC.
August 23, 1984 - February 27, 1985
J. W. GANT & ASSOCIATES, INC.
May 2, 1984 - July 5, 1984
WALFORD, DEMARET & CO., INC.
November 2, 1983 - June 25, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
May 27, 1980 - October 6, 1983
ENGLER-BUDD & COMPANY INC.
October 23, 1978 - May 22, 1980
B. J. LEONARD AND COMPANY, INC.
February 8, 1977 - December 13, 1978
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 10, 1974 - February 16, 1977
BOETTCHER & COMPANY, INC.
August 25, 1970 - September 1, 1974
DAIN, KALMAN & QUAIL, 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 1
Date: 8/12/1970
Registered Representative ExaminationCurrent Firm
SECURITIES USA, INC.
CRD#: 14799 / SEC#: , 8-32410
Contact information
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.
