Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel O'Brienjr. is a financial professional with over 20 years of experience in the securities industry. Daniel is currently registered with Bofa Securities, Inc. in New York, NY. Prior to joining Bofa Securities, Inc., Daniel was employed by SCOTIA CAPITAL (USA) INC., CREDIT SUISSE SECURITIES (USA) LLC, BTIG, LLC, UBS SECURITIES LLC, HSBC SECURITIES (USA) INC., ICAP CORPORATES LLC, and CITIGROUP GLOBAL MARKETS INC. Daniel holds the Series 63, Series 57TO, SIE, Series 55 and Series 7 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
06/21/2024 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
09/06/2023 - 06/03/2024
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
09/11/2015 - 10/04/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
01/03/2013 - 07/09/2015
BTIG, LLC (NEW YORK NY)
NY
09/13/2011 - 11/12/2012
UBS SECURITIES LLC (NEW YORK NY)
NY
12/21/2010 - 06/22/2011
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NJ
07/06/2009 - 07/02/2010
ICAP CORPORATES LLC (JERSEY CITY NJ)
NY
11/22/2000 - 05/13/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 11/13/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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