Frank W. Daniel
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.
Frank William Daniel, who also goes by Frank William Daniel, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 11 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2011 - June 19, 2013
1792 SECURITIES, LLC
May 29, 2002 - May 15, 2009
THOMAS GROUP CAPITAL
January 24, 1997 - January 26, 2001
COMMERCE CAPITAL CORPORATION
July 28, 1995 - May 24, 1996
GARDNYR MICHAEL CAPITAL, INC.
December 4, 1992 - June 27, 1995
MERCHANT CAPITAL, L.L.C.
January 29, 1991 - May 5, 1992
BANC ONE CAPITAL MARKETS, INC.
August 31, 1984 - July 23, 1990
BENTON AND COMPANY
June 1, 1979 - November 9, 1982
HENDERSON, FEW & CO.
March 22, 1979 - June 15, 1979
JARED, MULCAY & CO., INC.
July 25, 1977 - January 18, 1979
W. DOBBS & CO., INC.
October 1, 1976 - August 25, 1977
GEORGE M. WOOD & 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 40
Date: 9/27/1976
Registered Principal ExaminationCurrent Firm
1792 SECURITIES, LLC
CRD#: 146048 / SEC#: , 8-67779
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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