Willie L. Daniels
Professional summary
Willie Lee Daniels was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Willie is a previously registered financial professional and started their career in finance in 1966. Prior to being barred, Willie had worked at 8 firms, which includes UNITED DANIELS CAPITAL CORPORATION, UNITED DANIELS SECURITIES INC., CARTWRIGHT SECURITIES INC., MULLER AND COMPANY INC., NEUBERGER SECURITIES CORP., DANIELS & BELL INC., PERCY FRIEDLANDER & CO. INC., HERTZ WARNER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1995 - January 7, 1997
UNITED DANIELS CAPITAL CORPORATION
March 14, 1985 - March 3, 1995
UNITED DANIELS SECURITIES, INC.
May 24, 1983 - September 11, 1984
CARTWRIGHT SECURITIES, INC.
August 19, 1977 - October 20, 1977
MULLER AND COMPANY, INC.
April 6, 1976 - January 31, 1977
NEUBERGER SECURITIES CORP.
September 18, 1972 - October 30, 1975
DANIELS & BELL, INC.
October 26, 1970 - January 9, 1971
PERCY FRIEDLANDER & CO., INC.
May 10, 1966 - January 31, 1977
HERTZ, WARNER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/9/1966
Registered Representative ExaminationSeries 40
Date: 9/14/1972
Registered Principal ExaminationCurrent Firm
UNITED DANIELS CAPITAL CORPORATION
CRD#: 38292 / SEC#: , 8-48164
Contact information
Documents
Red Flags
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