Daniel R. Morse-dias
Professional summary
Daniel Robert Morse-dias is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Morse-dias's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2023 - Present
COMMONWEALTH AUSTRALIA SECURITIES LLC
Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022May 19, 2022 - December 19, 2022
WEDBUSH SECURITIES INC.
May 25, 2016 - December 19, 2022
WEDBUSH SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(2/21/2023)
Exams
FINRA
Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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