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Daniel Moreno
DAN MORENO
CRD#: 5652366
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 1290 AVENUE OF THE AMERICAS
4TH FL
NEW YORK, NY 10104
4TH FL
NEW YORK, NY 10104
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
California 9/29/2021
B
New Hampshire 9/29/2021
IA
California 12/14/2022
IA
New Hampshire 1/20/2022
B
Connecticut 9/29/2021
B
New Jersey 9/29/2021
IA
Connecticut 1/20/2022
IA
New Jersey 2/14/2022
B
Delaware 5/31/2022
B
New York 9/29/2021
IA
Delaware 6/10/2022
IA
New York 9/29/2021
B
District of Columbia 2/15/2023
B
North Carolina 9/29/2021
B
Florida 9/29/2021
IA
North Carolina 8/16/2023
IA
Florida 8/15/2022
B
Ohio 10/7/2022
B
Georgia 9/29/2021
B
Oregon 5/15/2023
IA
Georgia 8/14/2024
B
Pennsylvania 2/9/2022
B
Maryland 9/23/2022
IA
Pennsylvania 2/10/2022
IA
Maryland 9/26/2022
B
Rhode Island 9/29/2021
B
Massachusetts 9/29/2021
IA
Rhode Island 1/20/2022
B
Michigan 9/29/2021
B
Texas 9/29/2021
IA
Michigan 1/20/2022
IA
Texas 9/29/2021
B
Minnesota 9/29/2021
B
Utah 4/16/2024
B
Mississippi 9/27/2024
B
Washington 11/14/2022
IA
Mississippi 9/27/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/29/2021
B
Registered with this firm since 9/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/10/2020 - 10/04/2021 | New York, NY | |
B | 04/06/2020 - 10/04/2021 | New York, NY | |
B | 01/04/2017 - 04/14/2020 | New York, NY | |
B | 12/01/2010 - 01/06/2017 | BOSTON, MA | |
B | 06/25/2009 - 04/27/2010 | WESTBOROUGH, MA |
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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.