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DANIEL JOSEPH PLIS
CRD#: 1316128
IA
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CITIZENS SECURITIES, INC.CRD#: 39550 15 SOUTH MAIN ST.
MAILSTOP: CT-261
WEST HARTFORD, CT 06107
MAILSTOP: CT-261
WEST HARTFORD, CT 06107
0
Disclosures
30
Years of Experience
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State Registrations
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Connecticut 10/25/2023
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Connecticut 10/26/2023
SRO Registrations
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Registered with this firm since 1/3/2023
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Registered with this firm since 1/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2014 - 01/03/2023 | LOUISVILLE, KY | |
B | 12/10/2014 - 01/03/2023 | LOUISVILLE, KY | |
IA | 06/13/2012 - 08/14/2014 | BUFFALO, NY | |
B | 08/25/2010 - 08/14/2014 | BUFFALO, NY | |
IA | 04/05/2010 - 07/07/2010 | BUFFALO, NY | |
B | 01/22/2008 - 07/07/2010 | BUFFALO, NY | |
B | 01/01/2005 - 01/14/2008 | BUFFALO, NY | |
B | 01/20/1998 - 01/01/2005 | NEW YORK, NY | |
B | 07/10/1997 - 01/08/1998 | CLEVELAND, OH | |
B | 01/18/1993 - 02/29/1996 | BOSTON, MA |
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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.