Individual Firm
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DANNY SHUM
DANIEL SHUM
CRD#: 1787848
IA
B
WELLS FARGO ADVISORSCRD#: 11025 1000 NORTHERN BLVD STE 260
[SATELLITE]
GREAT NECK , NY 11021
[SATELLITE]
GREAT NECK , NY 11021
0
Disclosures
36
Years of Experience
View By:
State Registrations
B
Alabama 12/22/2021
IA
New Jersey 3/2/2010
B
California 9/25/2017
B
New York 2/19/2010
B
Connecticut 2/19/2010
IA
New York 7/27/2021
B
Florida 2/19/2010
B
Rhode Island 3/28/2023
B
Maryland 8/22/2017
B
South Carolina 8/1/2023
B
Massachusetts 7/22/2020
B
Texas 3/1/2024
B
Nevada 11/8/2019
IA
Texas 3/4/2024
B
New Jersey 2/19/2010
SRO Registrations
B
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IA
Registered with this firm since 3/2/2010
B
Registered with this firm since 2/19/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/29/2007 - 03/10/2010 | FLUSHING, NY | |
B | 05/29/2007 - 03/10/2010 | FLUSHING, NY | |
IA | 09/16/2004 - 05/29/2007 | FLUSHING, NY | |
B | 06/01/1992 - 05/29/2007 | FLUSHING, NY | |
B | 11/29/1991 - 06/01/1992 | ||
B | 08/27/1991 - 11/25/1991 | NEW YORK, NY | |
B | 06/14/1990 - 01/03/1991 | PURCHASE, NY | |
B | 02/23/1988 - 06/26/1990 | 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.