DANIEL NORMAN BARON - Investment Adviser at DAYMARK WEALTH PARTNERS, LLC

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Detailed ReportReport

DANIEL NORMAN BARON

DAN BARON, DANIEL BARON

CRD#: 2863972

Investment Adviser

Previous Broker

DAYMARK WEALTH PARTNERS, LLCCRD#: 320878

2425 Post Road, Suite 205
Southport, CT 06890

Registration History

Disclosure(s)

View By:

1/4/2010

Customer Dispute

Settled

License(s)

State Registrations

Connecticut 4/30/2024

Current Registration(s)

DAYMARK WEALTH PARTNERS, LLC (CRD#:320878)

2425 Post Road, Suite 205, Southport, CT 06890

Registered with this firm since 4/30/2024

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	01/29/2016 - 05/08/2024	WELLS FARGO ADVISORS (CRD#:19616)	WESTPORT, CT
B	01/29/2016 - 05/08/2024	WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)	WESTPORT, CT
IA	10/16/2009 - 02/03/2016	MORGAN STANLEY (CRD#:149777)	WESTPORT, CT
B	10/16/2009 - 02/03/2016	MORGAN STANLEY (CRD#:149777)	WESTPORT, CT
IA	07/21/2006 - 10/28/2009	UBS FINANCIAL SERVICES INC. (CRD#:8174)	WESTPORT, CT
B	07/05/2006 - 10/28/2009	UBS FINANCIAL SERVICES INC. (CRD#:8174)	WESTPORT, CT
IA	10/16/2009 - 10/16/2009	MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777)	WESTPORT, CT
B	04/20/2005 - 09/13/2005	UBS SECURITIES LLC (CRD#:7654)	NEW YORK, NY
B	01/21/1999 - 05/25/2005	UBS CAPITAL MARKETS L.P. (CRD#:2692)	STAMFORD, CT
B	08/14/1997 - 01/04/1999	CHARLES SCHWAB & CO., INC. (CRD#:5393)	WESTLAKE, TX
B	04/07/1997 - 06/19/1997	BEAR, STEARNS & CO. INC. (CRD#:79)	NEW YORK, NY

WELLS FARGO ADVISORS (CRD#:19616)

WESTPORT, CT

01/29/2016 - 05/08/2024

WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)

WESTPORT, CT

01/29/2016 - 05/08/2024

MORGAN STANLEY (CRD#:149777)

WESTPORT, CT

10/16/2009 - 02/03/2016

MORGAN STANLEY (CRD#:149777)

WESTPORT, CT

10/16/2009 - 02/03/2016

UBS FINANCIAL SERVICES INC. (CRD#:8174)

WESTPORT, CT

07/21/2006 - 10/28/2009

UBS FINANCIAL SERVICES INC. (CRD#:8174)

WESTPORT, CT

07/05/2006 - 10/28/2009

MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777)

WESTPORT, CT

10/16/2009 - 10/16/2009

UBS SECURITIES LLC (CRD#:7654)

NEW YORK, NY

04/20/2005 - 09/13/2005

UBS CAPITAL MARKETS L.P. (CRD#:2692)

STAMFORD, CT

01/21/1999 - 05/25/2005

CHARLES SCHWAB & CO., INC. (CRD#:5393)

WESTLAKE, TX

08/14/1997 - 01/04/1999

BEAR, STEARNS & CO. INC. (CRD#:79)

NEW YORK, NY

04/07/1997 - 06/19/1997

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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.

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

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.