Daniel Warren Tandy
Professional Summary
Daniel Warren Tandy was a registered financial advisor. Daniel was a previously registered financial professional and started their career in finance 1994 - 2025. Daniel had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS
Contact Information
Main Address
40 Wall Street - 58th Floor, New York, NY 10005Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005Phone Number
(212) 980-4400Established
Delaware since 11/12/1987Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (36 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 12 — NYSE Branch Manager Examination
Passed Nov 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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