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DS

Daniel T. Sanderson

Some features on this profile are disabled
CRD#: 7289993
DS

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 Tyler Sanderson, who also goes by Dan Tyler Sanderson, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2021. Daniel had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Tyler Sanderson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2023 - December 31, 2025

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

February 5, 2021 - July 26, 2022

PFS INVESTMENTS INC.

BD
CRD#: 10111
BRENTWOOD, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/5/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2020
Securities Industry Essentials Examination

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

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

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 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#
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPE SECURITIES INC.

CRD#: 7072

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