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DANIEL JOHN MORAN JR
DANIEL JOHN (JR) MORAN
CRD#: 1864762
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 8300 NORMAN CENTER DR
BLOOMINGTON, MN 55437
BLOOMINGTON, MN 55437
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1/23/2019
Customer Dispute
Settled
10/29/2018
Customer Dispute
Denied
2/21/2003
Customer Dispute
Settled
4/16/2002
Customer Dispute
Denied
3/12/2002
Customer Dispute
Denied
State Registrations
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Alaska 11/19/2020
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Minnesota 11/4/2013
B
Arizona 1/7/1991
B
Missouri 7/28/1999
B
California 1/4/1991
B
Nebraska 4/18/2024
B
Colorado 4/14/2009
B
Nevada 7/8/2024
B
Connecticut 12/26/2019
B
New Jersey 1/6/2020
B
Florida 10/25/1990
B
New York 11/12/2024
B
Georgia 3/10/1994
B
North Carolina 1/7/1991
B
Illinois 1/4/1991
B
South Carolina 2/11/2016
B
Indiana 2/6/2018
B
South Dakota 1/7/1991
B
Iowa 3/11/2021
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Texas 1/7/1991
B
Maine 9/28/2023
B
Texas 4/11/2012
B
Maryland 1/25/2002
B
Virginia 12/14/2016
B
Massachusetts 1/18/2023
B
Washington 1/16/2004
B
Minnesota 10/12/1988
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Wisconsin 5/18/2010
SRO Registrations
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B
B
B
B
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Registered with this firm since 1/7/1991
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Registered with this firm since 9/20/1988
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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.
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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.