Daniel J. Tobin
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 Tobin III, who also goes by Dan Tobin, Daniel James Tobin, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1980. Daniel had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2014 - December 7, 2015
TD AMERITRADE, INC.
December 15, 2014 - December 7, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 13, 2014 - December 7, 2015
TD AMERITRADE, INC.
January 5, 2001 - December 11, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 28, 1998 - January 8, 2001
PRUCO SECURITIES, LLC.
July 16, 1997 - January 12, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 21, 1996 - September 19, 1996
INVESTORS CAPITAL CORP.
May 5, 1986 - March 9, 1994
FIDELITY BROKERAGE SERVICES LLC
May 24, 1980 - February 21, 1985
HARRIS INVESTORLINE 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 8
Date: 6/27/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
