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DW

Daniel E. Ward

BAILEY & CO. SECURITIES
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 6131910
DW

Professional summary

Daniel E Ward, who also goes by Daniel Elliott Ward, is a registered financial professional currently at BAILEY & CO. SECURITIES, LLC located in Brentwood, Tennessee.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 56 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Elliott Ward

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel E Ward's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 7, 2022 - Present

BAILEY & CO. SECURITIES, LLC

Office #1: 5511 Virginia Way Suite 200, Brentwood, TN 37027Office #2: 5511 Virginia Way Suite 200, Brentwood, TN 37027
BD
CRD#: 302015
Brentwood, TN
Past

January 31, 2013 - April 30, 2013

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Tennessee
(12/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/5/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 1/30/2013
Proprietary Trader Qualification Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BAILEY & CO. SECURITIES, LLC
BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC

CRD#: 302015 / SEC#: , 8-70458

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Mailing Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Phone number
(215) 694-5054
Established
Tennessee since 04/12/2019
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BAILEY & COMPANY PARENT, LLCPARENT COMPANY/100 OWNER
BAILEY, JEFFREY LAWRENCEMANAGING DIRECTOR/EXECUTIVE REPRESENTATIVE3171436
BAILEY, JOHN JAMES IIIMANAGING DIRECTOR/PRINCIPAL5708044
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
SERRA, CARL ANTHONY IIIFINOP3179039

Disclosures

Regulatory Event1

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.

Company Information

BAILEY & CO. SECURITIES, LLC

CRD#: 302015Brentwood, TN 37027

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