Daniel L. Springate
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 Lamont Springate, who also goes by Dan Lamont Springate, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1975. Daniel had worked at 8 firms and has passed the Series 63, Series 5, Series 3, Series 7, Series 53, Series 24, Series 12 and Series 4 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, 1983 - November 21, 2001
HARRISON SECURITIES, INC.
March 15, 1983 - July 18, 1983
THOMSON MCKINNON SECURITIES INC.
July 12, 1982 - November 17, 1982
J. DAVID SECURITIES, INC.
December 17, 1981 - July 13, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1980 - December 21, 1981
PRUDENTIAL EQUITY GROUP, LLC
April 20, 1979 - June 15, 1980
MORGAN STANLEY DW INC.
November 4, 1978 - April 16, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 25, 1975 - November 9, 1978
E. F. HUTTON & COMPANY 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 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 12
Date: 3/6/1981
NYSE Branch Manager ExaminationCurrent Firm
HARRISON SECURITIES, INC.
CRD#: 14103 / SEC#: , 8-30546
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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