Individual Firm
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DANIEL JOHN HARPER
Daniel Harper
CRD#: 1454610
IA
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AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 141 W Front St Ste 140
Red Bank, NJ 07701
Red Bank, NJ 07701
View By:
6/7/2002
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 1/10/2024
B
Nevada 9/27/2024
B
Arizona 6/8/2017
B
New Jersey 6/26/2015
B
Arkansas 6/26/2015
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New Jersey 6/26/2015
B
California 6/26/2015
B
New Mexico 6/26/2015
B
Colorado 9/27/2024
B
New York 6/26/2015
B
Connecticut 6/26/2015
B
North Carolina 12/9/2024
B
Delaware 9/21/2016
B
Pennsylvania 6/26/2015
B
Florida 6/26/2015
B
South Carolina 6/26/2015
B
Illinois 6/26/2015
B
Texas 6/26/2015
B
Kentucky 9/27/2024
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Texas 6/26/2015
B
Maine 9/27/2024
B
Vermont 9/27/2024
B
Maryland 6/26/2015
B
Virginia 6/26/2015
B
Massachusetts 11/8/2022
B
Washington 5/22/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 6/26/2015
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Registered with this firm since 6/26/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/22/2007 - 06/30/2015 | RED BANK, NJ | |
B | 06/22/2007 - 06/30/2015 | RED BANK, NJ | |
IA | 07/22/2002 - 07/03/2007 | EDISON, NJ | |
B | 11/02/2001 - 07/03/2007 | EDISON, NJ | |
B | 08/25/1989 - 11/07/2001 | NEW YORK, NY | |
B | 02/19/1986 - 08/25/1989 | NEW YORK, NY |
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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.