Dan M. Lindsey
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.
Dan M Lindsey was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1978. Dan had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - December 31, 2018
TC FINANCIAL ADVISORS LLC
June 3, 2014 - June 16, 2015
ROBOTIC TRADING ADVISORS, LLC
December 2, 1982 - August 20, 1984
NICHOLS & GROW,INC.
January 31, 1982 - July 6, 1982
BOARDWALK CAPITAL CORPORATION
December 17, 1980 - August 7, 1981
SAINT ANTHONY SECURITIES, INC.
December 17, 1978 - December 1, 1980
SOUTHMARK FINANCIAL SERVICES, 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 1
Date: 12/11/1978
Registered Representative ExaminationCurrent Firm
TC FINANCIAL ADVISORS LLC
CRD#: 226705 / SEC#:
Contact information
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.
