Daniel J. Piet
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 John Piet, who also goes by Daniel J Piet, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1975. Daniel had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 1997 - October 8, 1997
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
April 3, 1992 - July 9, 1992
JOSEPH CHARLES & ASSOC., INC.
June 20, 1986 - September 18, 1986
SACCO SECURITIES CORPORATION
February 16, 1985 - June 5, 1986
MICHELIN AND COMPANY, INC.
September 11, 1984 - February 4, 1985
J.P. MORGAN SECURITIES LLC
October 3, 1983 - April 23, 1984
MANAS RESEARCH, INC.
November 7, 1981 - May 4, 1982
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1979 - May 14, 1980
ROTAN MOSLE INC.
July 1, 1976 - August 13, 1981
CIBC WORLD MARKETS CORP.
June 25, 1975 - July 28, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
