Individual Firm
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MARGARET BLAKELY DANIELS
MARNIE DANIELS
CRD#: 4914497
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 2365 HARRODSBURG ROAD
SUITE B 250
LEXINGTON, KY 40504
SUITE B 250
LEXINGTON, KY 40504
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Colorado 7/29/2020
B
North Carolina 5/21/2020
B
Florida 11/2/2020
B
Oregon 12/6/2018
B
Iowa 10/10/2018
B
South Carolina 3/14/2022
B
Kentucky 7/31/2015
B
Tennessee 10/29/2021
IA
Kentucky 7/31/2015
B
Texas 12/15/2020
B
Michigan 11/26/2020
B
Virginia 10/29/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/31/2015
B
Registered with this firm since 7/31/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2013 - 07/17/2015 | LEXINGTON, KY | |
B | 05/09/2013 - 07/17/2015 | LEXINGTON, KY | |
B | 04/21/2008 - 03/26/2013 | LOUISVILLE, KY | |
B | 05/22/2007 - 03/26/2008 | 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.