Individual Firm
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DANIEL RAY COLLINS
CRD#: 1084868
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 4206 W. Platt Street
Tampa, FL 33609
Tampa, FL 33609
IFP SECURITIES, LLCCRD#: 297287 4206 W. Platt Street
Tampa, FL 33609
Tampa, FL 33609
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12/9/1996
Judgment / Lien
5/16/1994
Customer Dispute
Settled
State Registrations
IA
Florida 4/16/2008
B
Georgia 6/3/2019
B
Florida 5/22/2019
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/16/2008
B
Registered with this firm since 5/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/08/2009 - 05/23/2019 | TAMPA, FL | |
B | 05/08/1995 - 09/08/2009 | TAMPA, FL | |
B | 06/07/1991 - 04/18/1995 | PURCHASE, NY | |
B | 11/02/1990 - 06/07/1991 | EL SEGUNDO, CA | |
B | 12/12/1986 - 03/22/1989 | NEW YORK, NY | |
B | 01/19/1983 - 12/19/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.