Daniel L. Harding
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 Lon Harding was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1981. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2014 - January 19, 2018
ALPINE CAPITAL MANAGEMENT, LLC
August 24, 2012 - December 11, 2013
MML INVESTORS SERVICES, LLC
August 8, 2012 - December 11, 2013
MML INVESTORS SERVICES, LLC
July 15, 2009 - July 25, 2012
ONEAMERICA SECURITIES, INC.
June 16, 2009 - July 25, 2012
ONEAMERICA SECURITIES, INC.
January 29, 2007 - June 3, 2009
SECURIAN FINANCIAL SERVICES, INC.
January 25, 2007 - June 3, 2009
SECURIAN FINANCIAL SERVICES, INC.
February 13, 2003 - January 18, 2007
EQUITABLE ADVISORS, LLC
August 17, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 17, 1992 - January 18, 2007
EQUITABLE ADVISORS, LLC
October 26, 1990 - February 21, 1991
EQUITABLE ADVISORS, LLC
September 1, 1984 - February 21, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 18, 1981 - June 22, 1983
EQUITABLE ADVISORS, LLC
June 18, 1981 - February 21, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Exams
Current Firm
ALPINE CAPITAL MANAGEMENT, LLC
CRD#: 132979 / SEC#: 801-63735
Contact information
Red Flags
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