Daniel J. Smith
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 James Smith was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1980. Daniel had worked at 14 firms and has passed the Series 65, Series 66, Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2016 - February 24, 2023
CHARDAN CAPITAL MARKETS LLC
February 9, 2004 - April 27, 2016
SIDOTI & COMPANY, LLC
September 13, 2000 - February 6, 2004
NETWORK 1 FINANCIAL SECURITIES INC.
October 21, 1998 - May 3, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
May 6, 1998 - August 19, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
August 7, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
July 9, 1995 - May 7, 1998
ESSEX NATIONAL SECURITIES, LLC
April 15, 1994 - April 19, 1995
ESSEX NATIONAL SECURITIES, LLC
May 25, 1993 - April 14, 1994
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 15, 1984 - November 25, 1986
INTEGRATED RESOURCES MARKETING, INC.
July 22, 1983 - December 22, 1983
SOUTHEAST SECURITIES OF FLORIDA, INC.
January 14, 1983 - June 9, 1983
WALL STREET ACCESS
November 19, 1981 - March 23, 1982
ROONEY, PACE INC.
April 14, 1981 - June 30, 1981
PERSHING LLC
November 12, 1980 - April 11, 1981
DIS-COM SECURITIES, INC.
May 22, 1980 - November 20, 1983
LEHMAN BROTHERS INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/25/2004
Limited Representative-Equity Trader ExamCurrent Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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.
