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DG

Daniel J. Greene

LLOYDS SECURITIES
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 7657920
DG
Daniel James GreeneLLOYDS SECURITIES

Professional summary

Daniel James Greene, who also goes by Daniel Greene, is a registered financial professional currently at LLOYDS SECURITIES located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2023. Daniel has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Aliases

Daniel Greene

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) - BD

Click below to view Daniel James Greene's CRS (Customer Relationship Summary).

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

Current

February 28, 2023 - Present

LLOYDS SECURITIES

Office #1: 1095 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 154515
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/6/2023)
RR
California
(3/6/2023)
RR
Florida
(2/28/2023)
RR
Illinois
(3/6/2023)
RR
Louisiana
(2/28/2023)
RR
New York
(3/6/2023)
RR
Ohio
(3/6/2023)
RR
Oregon
(3/6/2023)
RR
Texas
(3/6/2023)
RR
Virginia
(3/6/2023)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 3/4/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 10/17/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Status Unavailable
Passed: 2/28/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 11/8/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LLOYDS SECURITIES
LLOYDS SECURITIES | LLOYDS SECURITIES INC.

CRD#: 154515 / SEC#: , 8-68647

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

Main Address
1095 Avenue Of The Americas, New York, NY 10036
Mailing Address
1095 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 450-0800
Established
Delaware since 03/11/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
LLOYDS AMERICA SECURITIES CORPORATIONSHAREHOLDER-COMMON STOCK
FALLAN, WESLEY ROBERTPRESIDENT OF LLOYDS SECURITIES6313069
FRIIS, PIACHIEF LEGALOFFICER/CHIEF RISKOFFICER5171132
HILTON, ANNE DEBORAHCHIEF COMPLIANCE OFFICER7061903
HOUGHTON, ROSS ANDREWCHIEF FINANCIAL OFFICER, NA6493863
MANSFIELD, WILLIAM RENICK JRCEO OF NORTH AMERICA FOR LLOYDS BANK CORPORATE MARKETS NORTH AMERICA1398078
NADEL, MITCHELL NEILHEAD OF FINANCIAL MARKETS6157639
ROWLANDS, MARK KEITHPRINCIPAL FINANCIAL OFFICER & TREASURER6601550
TRYPHONIDES, NICHOLASPRINCIPAL OPERATIONS OFFICER (POO), SECRETARY6446246

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.

Company Information

LLOYDS SECURITIES

CRD#: 154515New York, NY 10036

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