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DR

Daniel Raymond

ALTO SECURITIES
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 6708635
DR

Professional summary

Daniel Raymond is a registered financial professional currently at ALTO SECURITIES, LLC located in Nashville, Tennessee.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2024. Daniel has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Raymond's CRS (Customer Relationship Summary).
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

April 2, 2024 - Present

ALTO SECURITIES, LLC

Office #1: 500 11th Avenue N Suite 790, Nashville, TN 37203
BD
CRD#: 318536
Nashville, TN

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
Colorado
(4/2/2024)
RR
Tennessee
(6/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC

CRD#: 318536 / SEC#: , 8-70863

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

Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(732) 609-4758
Established
Delaware since 12/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTO SOLUTIONS, INC.OWNER
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
MIELE, DOMENICCHIEF COMPLIANCE OFFICER6032198
ROMERO, MONIQUE VICTORIAFINOP / PFO / POO

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

ALTO SECURITIES, LLC

CRD#: 318536Nashville, TN 37203

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