Daniel W. Tandy

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CRD#: 839685

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 Warren Tandy was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2002 - July 28, 2025

PRIME EXECUTIONS, INC.

CRD#: 32889

NEW YORK, NY

Past

January 2, 2002 - May 2, 2002

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

September 28, 2000 - January 2, 2002

HENDERSON BROTHERS, INC.

CRD#: 2171

NEW YORK, NY

Past

January 10, 2000 - November 14, 2001

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

June 10, 1999 - January 5, 2000

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

Past

May 15, 1997 - June 4, 1999

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

April 3, 1996 - June 3, 1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

CRD#: 18032

NEW YORK, NY

Past

March 19, 1996 - May 6, 1997

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

November 28, 1994 - March 25, 1996

ROULSTON RESEARCH CORP.

CRD#: 3235

CLEVELAND, OH

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 12

Date: 11/13/2000

NYSE Branch Manager Examination

Current Firm

PRIME EXECUTIONS, INC.

FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

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

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Contact information

Main Address

40 Wall Street - 58th Floor, New York, NY 10005

Mailing Address

40 Wall Street - 58th Floor, New York, NY 10005

Phone number

(212) 980-4400

Established

Delaware since 11/12/1987

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FREEDOM HOLDING CORP.	HOLDING COMPANY
AGUIAR, ALBERT	INTERIM CEO	2947566
CARON, WAYNE ROGER	CCO	1422911
CHASKIN, DAVID R	CFO, FINOP, POO, PFO	5306238

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Daniel W. Tandy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LABRANCHE FINANCIAL SERVICES, LLC

HENDERSON BROTHERS, INC.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

FIRST OPTIONS OF CHICAGO, INC.

HAPOALIM SECURITIES USA, INC.

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

BISHOP, ROSEN & CO., INC.

ROULSTON RESEARCH CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1977

Series 10

Date: 1/2/2023

Series 12

Date: 11/13/2000

Current Firm

PRIME EXECUTIONS, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRIME EXECUTIONS, INC.

TRUST BUT VERIFY

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