Daniel J. Cara
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 J Cara, who also goes by Daniel J Cara, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2016. Daniel had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2017 - December 14, 2018
INTL FCSTONE CREDIT TRADING LLC
April 20, 2016 - July 20, 2017
LORD, ABBETT & CO. LLC
March 7, 2016 - July 20, 2017
LORD ABBETT DISTRIBUTOR LLC
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
Current Firm
INTL FCSTONE CREDIT TRADING LLC
CRD#: 41025 / SEC#: , 8-49291
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
