Donald M. Daniels
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.
Donald Michael Daniels JR was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 8 firms and has passed the Series 63, Series 55, Series 7 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
May 22, 2007 - September 4, 2013
CRT CAPITAL GROUP LLC
February 8, 2005 - February 15, 2006
UBS CAPITAL MARKETS L.P.
December 13, 2000 - May 23, 2007
UBS SECURITIES LLC
May 7, 1998 - March 28, 2002
UBS FINANCIAL SERVICES INC.
January 7, 1997 - April 17, 1998
THE ROBINSON-HUMPHREY COMPANY, LLC
March 13, 1989 - September 16, 1996
J.P. MORGAN SECURITIES LLC
November 26, 1985 - December 23, 1988
ROBERT FLEMING INC.
June 23, 1981 - November 23, 1985
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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 55
Date: 2/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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