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DANIEL MICHEAL HARLEY
DANIEL M HARLEY, DANIEL MICHEAL HARLEY MR., Daniel Harley
CRD#: 4859291
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 7115 VIRGINIA ROAD
SUITE 117
CRYSTAL LAKE, IL 60014
SUITE 117
CRYSTAL LAKE, IL 60014
0
Disclosures
14
Years of Experience
View By:
State Registrations
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Arizona 11/14/2024
B
Michigan 11/14/2024
B
Florida 11/15/2024
B
North Carolina 11/14/2024
B
Illinois 11/14/2024
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Texas 11/14/2024
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Illinois 11/14/2024
IA
Texas 11/14/2024
B
Massachusetts 11/14/2024
B
Wisconsin 11/14/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/02/2017 - 11/14/2024 | DOWNERS GROVE, IL | |
B | 02/13/2017 - 11/14/2024 | DOWNERS GROVE, IL | |
B | 09/30/2015 - 08/17/2016 | DOWNERS GROVE, IL | |
B | 02/09/2011 - 11/26/2013 | OSWEGO, IL | |
IA | 07/09/2010 - 11/05/2010 | NAPERVILLE, IL | |
B | 04/14/2010 - 11/05/2010 | NAPERVILLE, IL | |
B | 03/10/2006 - 05/01/2008 | ST CHARLES, IL | |
B | 01/20/2005 - 06/15/2005 | HEIDELBERG |
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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.